Investors potentially experienced losses due to securities broker Mark Edward Brooks [CRD: 2174252, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mark Brooks has worked for Northwestern Mutual Investment Services LLC since September 19, 1991. Keep reading to learn more about the disclosures involving this securities broker and what they […]

One or more investors apparently complained about securities broker William Tenpenny (also known as Will Tenpenny) [CRD: 5606390, Spring Hill, Tennessee], according to publicly available information on FINRA BrokerCheck. Evidently, William Tenpenny has worked for Edward Jones since May 6, 2009, serving as both a broker and investment adviser at the firm's Spring Hill, Tennessee […]

Investors potentially experienced sales practice violations due to securities broker Williams Keen Butcher (also known as Keen Butcher) [CRD: 2098675, Kemah, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Williams Butcher worked for Independent Financial Group LLC beginning May 3, 2022, and is currently registered with this firm. Previously, Butcher was […]

Investors potentially experienced sales practice violations because of securities broker Jessica Healy [CRD: 6589558, Chicago, Illinois], based on disclosures through FINRA’s BrokerCheck. Evidently, Healy worked for Metropolitan Capital Investment Banc Inc. from February 16, 2016, to December 20, 2023. Below, you can discover more about the securities broker’s disclosures and what they may mean for […]

Investors potentially experienced losses because of securities broker John Russo [CRD: 3245040, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Russo worked for Aegis Capital Corp. from June 6, 2018, to April 3, 2024, and is currently registered with Dominari Securities LLC in New York, […]

Investors potentially experienced sales practice violations due to securities broker Amanda Nicole Wiggins (also known as Amanda Nicole Sosa) [CRD: 5526300, Fort Worth, Texas], based on disclosures through FINRA’s BrokerCheck. Wiggins has been registered with Wells Fargo Clearing Services LLC since December 2, 2014, and with Wells Fargo Advisors since January 6, 2020. Below, you […]

Investors potentially experienced sales practice violations because of securities broker Scott Christopher Grove [CRD: 2813738, Newport Beach, California], based on disclosures on FINRA BrokerCheck. Evidently, Grove has been affiliated with MML Investors Services LLC since January 4, 2002, in his capacity as a broker, and since March 16, 2021, in his capacity as an investment […]

Investors potentially experienced sales practice violations because of securities broker Richard Kevin Kubiak [CRD: 2856073, Clarence Center, New York], based on disclosures through FINRA’s BrokerCheck. Kubiak has been registered with Ameriprise Financial Services LLC at its Cheektowaga, New York location since February 24, 1997, and at the firm’s Clarence Center, New York location since June […]

If you’ve put money into Lodging Fund REIT III—or are considering it—you deserve to know the full picture. This real estate investment trust (REIT), focused on the hospitality sector, has recently come under scrutiny for financial and regulatory issues. Here’s a breakdown of the situation. Executive Trouble In 2023, a high-level executive involved with the […]