Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Donald Ralph Hancock [CRD: 828811, Manchester, Missouri]. Hancock has worked in the securities industry for over 48 years, holding registrations with several firms, including Moloney Securities Co. Inc. since 2010 and Moloney Securities Asset Management LLC since 2016. Recent disclosures highlight regulatory concerns and […]

FINRA BrokerCheck reveals disclosures about securities broker Daryl Ray Calton (CRD# 1002304, Mesa, Arizona), previously registered with Calton Associates Inc. from 1991 to 2023. He also held positions at First Affiliated Securities Inc., Ambanc Securities Inc., and Buchanan Co. Inc. over his 42-year career. Recent disclosures raise concerns about allegations of unsuitable investment recommendations. Settled […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Cara Michelle Miller (also known as Cara M. Miller, Cara Michelle Smith) [CRD#: 4521819, Rapid City, SD]. Miller previously worked as a broker at multiple firms, including ProEquities Inc. from May 2006 to September 2020. She is currently registered as an investment adviser with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rodney Wayne Rich Jr. (also known as Rod Rich Jr., Rodney W. Rich, Rodney Rich) [CRD: 714642, Bellevue, Washington]. Rodney Rich Jr. has been registered with Ameriprise Financial Services, LLC, since April 29, 2016. Recent disclosures reveal concerns about Rich’s conduct, including allegations involving […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rene Javier Castro [CRD: 2559410, Chicago, Illinois]. Rene Javier Castro worked for Center Street Securities, Inc. from April 2014 to October 2019 and later joined Great Point Capital LLC in November 2019, where he remains registered. Recent disclosures reveal concerns about Castro’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Charles Burks II (also known as Bill Burks) [CRD: 2944992, Flower Mound, Texas]. William Burks has been registered with Centaurus Financial, Inc. since 2000 and has amassed over 27 years of experience in the securities industry. Recent disclosures reveal concerns about Burks’ conduct, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin]. Evidently, John Wolf worked for several firms throughout his career, including Purshe Kaplan Sterling Investments from November 2009 to January 2016, Raymond James Financial Services from June 1996 to September 2009, and Banc One Securities Corporation from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Douglas Cy Waisner [CRD: 1280998, Westlake Village, California]. Evidently, Waisner joined Western International Securities Inc. on May 27, 2008, and worked for Financial West Group from January 1, 2005, to March 20, 2013. Keep reading to learn more about client disputes that contain allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Bradley William Werner [CRD: 2329211, Porter, Indiana]. Evidently, Bradley Werner worked as financial advisor for Securities America Advisors Inc. from October 19, 2017, to December 21, 2023. He also worked as securities broker for Securities America Inc. during the same period. […]