Investors potentially experienced sales practice violations by securities broker John Prokos Jr. [CRD: 1553091, Boca Raton, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Prokos worked for LPL Financial LLC beginning September 1, 2020, and previously worked for Lucia Securities LLC from September 9, 2011, to October 5, 2020, […]

Investors potentially incurred losses because of securities broker Nicole Noel Middendorf (also known as Nikki Middendorf, Nicole Vandergriff, and Nikki Vandergriff) [CRD: 3251084, Minneapolis, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Middendorf has been registered with Raymond James Financial Services Inc. since April 28, 2017, and with Raymond James Financial Services […]

Investors potentially experienced sales practice violations by securities broker Nicholas A. Peterson [CRD: 5985784, Annapolis, Maryland], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peterson has worked for Merrill Lynch as a securities broker since November 4, 2011, and as a financial advisor since November 30, 2011. Investors should review the […]

Investors have reportedly disputed the sales practices of securities broker Devin Shailesh Patel [CRD: 6632487, Tampa, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Devin Patel worked for Sanford C. Bernstein Co. LLC from January 30, 2023, to September 17, 2025. Investors are encouraged to continue reading to learn more […]

Investors potentially incurred losses because of securities broker Roger Henry Ingwersen (also known as Roger Harold Ingwersen) [CRD: 255050, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ingwersen has been registered with AW Securities since July 5, 2023, and Allworth Financial, L.P. since July 5, 2023, and previously worked with The […]

Investors apparently complained about securities broker John Francis Coyle III [CRD: 2435184, Garden City, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coyle has been registered with Morgan Stanley since June 1, 2009, and he has also been registered as a financial advisor with Morgan Stanley since May 14, […]

Investors might have sustained losses due to securities broker and financial advisor Douglas Walter Campbell (also known as Doug Campbell) [CRD: 1157205, Greenwood Village, Colorado], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Campbell worked for Alpha Capital Family Office LLC from March 2020 to the present and previously worked for […]

Investors have reportedly disputed the sales practices of securities broker William David Olinger III (also known as Will Olinger) [CRD: 2289684, Gainesville, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Olinger worked for Valmark Securities Inc. from January 13, 1999, to February 28, 2025. Investors should review the information below to learn […]

Investors potentially experienced sales practice violations by securities broker Robert D. Alegria [CRD: 5978340, Miami, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alegria has been registered with Morgan Stanley since January 12, 2015, as a securities broker and since January 14, 2015, as a financial advisor. See the following […]