Investors potentially incurred losses because of securities broker James Edward Van Meter (also known as James Edward VanMeter) [CRD: 4557517, Reno, Nevada], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Van Meter worked for Center Street Securities Inc. from August 15, 2013, to May 2, 2023, Center Street Advisors Inc. […]

Investors might have sustained losses due to securities broker Ernest Adolf Stiba Jr. (also known as Ernie Stiba Jr.) [CRD: 1254994, Waco, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ernest Stiba worked for Lion Street Financial LLC and Lion Street Advisors LLC from September 22, 2016, to November 3, […]

Investors apparently complained about securities broker Kirk Mitchell [CRD: 4590715, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Balin worked for Householder Group Estate Retirement Specialists from December 11, 2013, to September 11, 2025, Gateway Wealth Partners LLC from September 8, 2025, to February 6, 2026, and has been […]

Investors potentially experienced sales practice violations by securities broker Patricia Walker Pick (also known as Patricia Ann Pick and Patricia Ann Walker) [CRD: 726788, Vienna, Virginia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Patricia Pick worked for Hightower Securities LLC from January 30, 2015, to June 5, 2023. Read on […]

Investors apparently complained about securities broker Christopher Stephen Johnson [CRD: 2041695, Cary, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Johnson worked for Raymond James Associates Inc. from August 16, 2019, to May 5, 2026. See below to discover more about the client disputes reported on Johnson's FINRA […]

Investors potentially experienced sales practice violations by securities broker Toni Lynn Iannarelli (also known as Toni Lynn Sidona) [CRD: 1193641, Westlake Village, California], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Toni Iannarelli worked for Western International Securities Inc. and Western International Securities from November 16, 2015, to June 5, 2025, […]

Investors potentially incurred losses because of securities broker Emmet Francis Martin Sr. [CRD: 3053367, Mauldin, South Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin has been registered with Trustmont Financial Group Inc. since August 16, 2010, and with Trustmont Advisory Group Inc. since August 23, 2010. Investors should continue […]

A Kansas regulator fined financial advisor David Gene Cox [CRD: 5518178, Overland Park, Kansas], and one or more investors complained about him, according to SEC Investment Adviser Public Disclosure. Notably, Cox was associated with Brookstone Capital Management LLC from April 10, 2008, to October 15, 2021, CreativeOne Wealth LLC from October 15, 2021, to May […]

Investors apparently complained about securities broker Michael David Kolacz (also known as Mike Kolacz) [CRD: 2566829, Rockwall, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kolacz has worked for Independent Financial Group LLC as both a broker and financial advisor since June 2023, and previously worked for International Assets Advisory LLC […]