FINRA barred securities broker Joseph Michael Cannon (also known as Joe Cannon) [CRD: 6341199, Chicago, Illinois] and a client complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cannon worked for Northwestern Mutual Investment Services LLC from April 16, 2016, to September 11, 2024. Below, you can find important […]

FINRA barred securities broker Jeffrey Arthur Perryman [CRD: 2019969, Johnstown, Colorado] and investors complained about him, according to disclosures on FINRA BrokerCheck. Apparently, Perryman worked for NYLIFE Securities LLC from April 11, 1990, to May 9, 2024. Keep reading to learn more about the pending allegations concerning Perryman’s conduct while working with this brokerage firm. […]

FINRA barred securities broker David Lee Jerke [CRD: 5129935, Tacoma, Washington] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Jerke worked for LPL Financial LLC from January 14, 2021, to December 23, 2024, and for Securities America Inc. from November 6, 2020, to January 14, 2021. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Jay Rustic (CRD#: 1128406, Bristol, Connecticut). Rustic has been registered with Commonwealth Financial Network since February 26, 2002. Previously, he was affiliated with First Investors Corporation from April 1983 to February 2002. Recent disclosures reveal concerns regarding Rustic's professional conduct, specifically allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ceondre LaQuan Colvin [CRD: 7329753, Pittsburgh, Pennsylvania]. Ceondre Colvin worked for NYLIFE Securities LLC from September 2022 to June 2024. Prior to this, he held positions at non-securities-related employers and managed his own businesses. Recent disclosures raise concerns about Colvin’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Indianapolis, Indiana]. Theodore Byrer previously worked for Morgan Stanley from November 2013 to April 2023, among other firms, including Raymond James & Associates, A.G. Edwards & Sons, and International Assets Advisory. Recent disclosures raise […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Stephen Stocks [CRD: 2600346, Paradise Valley, Arizona]. Stocks has a lengthy employment history, including working for Morgan Stanley DW Inc. from 2009 to 2021, and working for Prospera Financial Services Inc. since 2022. However, Stocks has been involved in client disputes and regulatory […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]