Investors possibly experienced losses because of financial advisor / securities broker Shane Michael DeSherlia [CRD: 6800960, Jerseyville, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shane DeSherlia has worked for Moloney Securities Co. Inc. since May 24, 2017, and Moloney Securities Asset Management LLC since November 7, 2019. Keep reading to […]

Investors might have sustained losses due to financial advisor/ securities broker Scott Gerald Thole [CRD: 4516390, Saint Paul, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thole has been employed by Merrill Lynch Pierce Fenner Smith Incorporated since May 13, 2016. Continue reading to learn more about the allegations and disclosures related […]

Investors might have sustained losses due to securities broker Scott Douglas Phillips [CRD: 1311907, Salt Lake City, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Scott Phillips has worked for Centaurus Financial Inc. since January 4, 2007, as a broker, and since January 17, 2007, as a financial advisor. He has […]

Investors possibly experienced losses because of securities broker Richard Glenn Shaw (also known as Rick Glenn Shaw) [CRD: 1870018, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Shaw has worked for Lincoln Financial Advisor Corporation (now known as OSAIC FA Inc.) since June 1, 1998. Here’s more about the […]

Investors might have sustained losses due to financial advisor / securities broker Paul Raehpour [CRD: 4508598, McKinney, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paul Raehpour has worked for Merrill Lynch Pierce Fenner Smith Incorporated at their McKinney, Texas location since December 12, 2014. Keep reading to learn more about […]

Investors possibly experienced losses because of securities broker Norman Hugh Meyer [CRD: 3185642, Milpitas, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Meyer has worked for NI Advisors since September 20, 2021, and for Vestech Securities Inc. since June 3, 2016. He also serves as a financial advisor at Vestech […]

Investors complained about securities broker / financial advisor Nancy Ellen Cole (also known as Nancy Ellen Hall) [CRD: 2900724, Sacramento, California]. Notably, SEC filed a complaint about her, and investors disputed her sales practices, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nancy Cole has worked for Western International Securities Inc. since August 28, […]

Investors might have sustained losses due to securities broker Nabil Bouab [CRD: 4340284, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nabil Bouab worked for Garden State Securities Inc. from October 31, 2022, to June 13, 2024, and for American Portfolios Financial Services Inc. from July 26, 2013, […]

Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]