Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Benjamin Paine (also known as Tom Paine) [CRD#: 2285372, Arroyo Grande, California]. Paine has worked in the securities industry for 32 years and is currently registered with Centaurus Financial Inc. in Arroyo Grande, California. He has been with this firm since May 5, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theresa Allen (also known as Theresa Binkley, Theresa Givens) [CRD: 2183693, Newport Beach, California]. Allen has worked in the securities industry for 32 years, most recently registering with RBC Capital Markets LLC in April 2023. Prior to that, she was employed with First Republic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Stephen James Sperling (CRD: 3061073, Palatine, Illinois). Sperling worked for Wintrust Investments LLC from 2007 to 2024 and previously held positions at LaSalle Financial Services, Harris InvestorLine, and Harris Investors Direct. Recent disclosures highlight concerns regarding Sperling’s conduct, including client disputes related to unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Scott Willard Taubman (also known as Scott W. Taubman, Scott Taubman) [CRD: 4809824, Peoria, Arizona]. Taubman previously worked for several brokerage firms, including Ameriprise Financial Services LLC from 2017 to 2022. Recent disclosures raise concerns about Taubman’s conduct, including regulatory sanctions and a pending […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Morgan Vance (CRD: 1887560, Sonora, California). Vance previously worked for Moloney Securities Co. Inc. from June 2016 to November 2023 and was registered with multiple other firms throughout his career. Recent disclosures indicate allegations against Vance, including suitability concerns, negligence, and regulatory actions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert James McKee (also known as Bob McKee) (CRD# 1223331) of Michigan City, Indiana. McKee has been registered with LPL Financial LLC since July 30, 2019. Throughout his 40-year career, he has been associated with multiple firms, including SagePoint Financial Inc., Next Financial Group […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Mark Douglas Erwin (CRD: 3039639, Napa, California). Erwin has been registered with Commonwealth Financial Network since January 5, 2006, and has over 26 years of experience in the financial industry. Recent disclosures reveal concerns about Erwin’s conduct, including allegations of unauthorized distributions and unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lorraine Gallette (also known as Lorraine Marie Schmidt) (CRD#: 6192487, El Dorado Springs, Missouri). Gallette was previously registered with Coastal Equities Inc. from July 2013 to January 2021 and later joined Moloney Securities Co. Inc., where she remained until April 2022. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Laura Casey (also known as Laura H. Casey, Laura Aline Hubbard, and Laura H. Hubbard) [CRD: 2684465, Red Bank, New Jersey]. Laura Casey worked for Morgan Stanley from July 2018 to September 2022 and later joined Capitol Securities Management Inc. in August 2022. However, […]