Financial Industry Regulatory Authority (FINRA) barred securities broker Gabriel Ruiz [CRD: 7426643, Roseland, New Jersey], according to disclosures on BrokerCheck. Evidently, Gabriel Ruiz worked for ADP Broker-Dealer Inc. from December 20, 2021, to January 24, 2023. Below, you’ll find a summary of Ruiz’s disclosures. FINRA Barred Ruiz For Refusing To Produce Documents In Investigation Particularly, […]

Investors complained about securities broker Andrew Joseph Egber (also known as Andy Joseph Egber), and Financial Industry Regulatory Authority (FINRA) barred him from the securities industry [CRD: 1894585, Bethesda, Maryland, according to disclosures on FINRA BrokerCheck. Evidently, Andrew Egber worked for Steward Partners Investment Solutions LLC from May 27, 2022, to April 18, 2024, Raymond […]

Investors might have sustained losses due to Michael Craig Brickman [CRD: 4042866, Paramus, New Jersey], and FINRA barred the securities broker, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brickman worked for Pruco Securities LLC from May 25, 2018, to August 9, 2023. Continue reading to learn more about the nature […]

Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), […]

Investors might have sustained losses due to Larry Joseph Michaels [CRD: 4351477, Orange, California], and FINRA sanctioned the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Larry Michaels has been registered with Crown Capital Securities L.P. since October 16, 2012. Continue reading to learn more about the disclosures linked to […]

Investors might have sustained losses due to Joseph C. Desapio [CRD: 5837553, New York, New York], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Desapio worked for Spartan Capital Securities LLC from May 5, 2017, to July 27, 2022. He was discharged when Spartan […]

Investors might have sustained losses due to securities broker James Daniel McDermott [CRD: 2483480, Oakbrook Terrace, Illinois], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDermott was registered with Raymond James Associates Inc. from October 16, 2015, to October 27, 2023, before moving to Osaic Wealth Inc. on October 26, 2023. […]

Investors may have incurred losses due to securities broker Brian Scott Graham [CRD: 2581633, Plainfield, Illinois], as reported by the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham was previously employed with Cetera Advisor Networks LLC from September 3, 2013, to April 12, 2024, and with Tower Square Securities Inc. from June 23, 2010, to September […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]