Investors potentially experienced losses due to securities broker Keith Russell Morgan (also known as Keith Morgan) [CRD: 3139407, Dalton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan worked for Steward Partners Investment Solutions LLC from July 15, 2010, and became registered with Steward Partners Investment Advisory LLC on May 1, […]

One or more investors apparently complained about securities broker Todd William Walker [CRD: 2503388, Biloxi, Mississippi], according to disclosures on FINRA BrokerCheck. Evidently, Todd Walker has been registered with Centaurus Financial Inc. at its Centennial, Colorado, branch since January 12, 2005, and registered as an investment adviser with the same firm since January 9, 2012. […]

Investors potentially experienced sales practice violations because of securities broker Erik Craig Olson [CRD: 4794857, Crystal Lake, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Olson has been employed by Arete Wealth Management LLC since March 31, 2010, and Arete Wealth Advisors LLC since April 1, 2010—both located at 1 North […]

Investors might have sustained losses due to securities broker Robert Gerard Devita [CRD: 1865964, Downers Grove, Illinois], according to publicly available information through FINRA’s BrokerCheck. Evidently, Robert Devita joined Ausdal Financial Partners Inc. on July 1, 2010, working as both a broker and investment adviser representative. Below, you can discover more about the disclosures involving […]

Investors potentially experienced sales practice violations due to securities broker Jaime Estrada (also known as Jaime Achille Estrada, Jimmy Achille Estrada) [CRD: 5852546, Walnut Creek, California], based on disclosures on FINRA BrokerCheck. Evidently, Estrada worked for Wells Fargo Clearing Services LLC from November 22, 2010, to December 16, 2022. As of December 16, 2022, he […]

One or more investors apparently complained about securities broker Pasquale Evangelista (also known as Pat Evangelista) [CRD: 2443782, Naples, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Pasquale Evangelista has worked for Raymond James Associates Inc. since March 19, 2010, serving both as a broker and investment adviser at their Naples, Florida branch. See the […]

Investors might have sustained losses because of securities broker Alex Paredes-Malaga (also known as Alex Eduardo Malaga, Alex Paredes Malaga, and Alex Eduardo Paredes Malaga) [CRD: 7191576, Brea, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paredes-Malaga has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since January 1, 2020, […]

Investors potentially experienced sales practice violations due to securities broker Michael Lawrence Hoye [CRD: 3029864, Schaumburg, Illinois], according to publicly available information through FINRA’s BrokerCheck. Evidently, Michael Hoye has been registered with Ausdal Financial Partners Inc. since February 23, 2009, and operates out of their office at 1821 Walden Office Square, Suite 400, Schaumburg, Illinois. […]

One or more investors apparently complained about securities broker Jon M. Urbach [CRD: 5308455, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Urbach has been registered with Fidelity Brokerage Services LLC since January 1, 2008, and with Strategic Advisers LLC since March 31, 2025. Both entities are located in Chicago, […]