Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Irene Schmidt (also known as Karen Irene Dry, Karen Irene Scher, and Karen Irene Moore) [CRD: 5669963, Woodland Hills, California]. Schmidt joined Northwestern Mutual Investment Services LLC (NMIS) on August 11, 2010. Recent investor claims about her involve allegations related to her recommendations. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John George Rotando Jr. [CRD: 2071444, Greenwich, Connecticut]. Rotando joined Wells Fargo Clearing Services LLC on April 29, 2016, and he also serves as a financial advisor with Wells Fargo Advisors. Before his time at Wells Fargo, he worked for UBS PaineWebber Inc. and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals that securities broker Jeffrey Thomas Higgins [CRD: 2871443, Baker City, Oregon] has been barred as a securities broker. Higgins worked for Western International Securities Inc. from August 21, 2017, to June 27, 2024. Notably, Higgins’ failure to cooperate with a FINRA investigation into potential misappropriation of client funds […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Gary Sauve [CRD: 411499, Bismarck, North Dakota]. Sauve worked for Centaurus Financial Inc. from June 4, 2015, to March 9, 2021. Sauve has faced client disputes, with allegations ranging from unsuitable investment recommendations to breaches of fiduciary duty. Continue reading to learn more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Dan Edward Droeg (also known as Dan Edwards Droeg) [CRD: 1509210, Mesa, Arizona]. Droeg worked for United Planners Financial Services of America from August 12, 2021, to October 11, 2021, and previously worked for firms such as H. Beck and Sagepoint Financial. Keep reading […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures involving securities broker Brent Christopher Fuchs [CRD: 4269916, Preston, Maryland]. Fuchs has worked for Lincoln Financial Advisors Corporation (now Osaic FA Inc.) as a securities broker since November 14, 2000, and as a financial advisor since January 22, 2001. His employment history includes client disputes, with one […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Andrew Scheier [CRD: 2820778, New York, New York]. Evidently, Scheier has worked for Stifel Nicolaus Company Incorporated as a securities broker since August 21, 2007, and as a financial advisor since November 24, 2021. Recently, Scheier faced client disputes regarding his recommendations and strategies. […]