Investors potentially incurred losses because of securities broker Curtis Jerome Sathre III [CRD: 2459115, Oceanside, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sathre worked for JRL Capital Corporation from June 10, 2011, to May 3, 2023; Great Point Capital LLC from May 9, 2023, to March 26, 2026; and JRL Capital […]

Investors might have sustained losses due to securities broker Darryl Joseph Hall [CRD: 4185048, Elk Grove, California], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hall worked for CUSO Financial Services L.P. from July 1, 2002, through May 15, 2025, and joined LPL Financial LLC on May 15, 2025. Investors are […]

FINRA barred securities broker Kevin Christopher McCarthy [CRD: 1702715, Hialeah, Florida], and investors complained about him, based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Madison Avenue Securities LLC from December 4, 2007, to January 30, 2026. Investors are encouraged to continue reading to find out more about McCarthy’s […]

FINRA barred securities broker Pablo Leonel Gherardi [CRD: 4602689, Miami, Florida], and one or more investors complained about him, given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gherardi worked for Jefferies LLC from May 5, 2017, to December 6, 2024. Investors are encouraged to continue reading to discover more about the […]

FINRA barred securities broker Marcelo Javier Poliak [CRD: 2465622, Miami, Florida], and multiple investors complained about him, according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcelo Poliak worked for Jefferies LLC from May 5, 2017, to December 6, 2024. See the following information to find out more about disclosures involving Poliak […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors apparently complained about securities broker Alex Boyd Mathis [CRD: 2235598, Westlake Village, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mathis worked for Western International Securities Inc. from November 16, 2011, through June 5, 2025, and became registered with LPL Financial LLC beginning June 5, 2025. Investors are […]

Investors may have suffered financial harm by securities broker Rainey Steven Rogers Sr. [CRD: 1839823, McKinney, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers worked for Principal Securities Inc. from August 30, 1988, to February 14, 2022, as a securities broker and from March 24, 2005, to February 14, 2022, as […]

Investors potentially experienced sales practice violations by securities broker Sean Hosein (also known as Sean Sherwin) [CRD: 4164630, New York, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hosein worked for National Securities Corporation from March 15, 2013, to May 19, 2022, and has been registered with PHX Financial Inc. […]