Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Investors might have sustained losses due to securities broker Jack Matthew Cayce (also known as J.M. Cayce and Matt Cayce) [CRD: 4189311, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Cayce worked for Purshe Kaplan Sterling Investments since January 23, 2023, and Apollon Wealth Management LLC since May 12, […]

SEC fined securities broker Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff) [CRD: 2711805, Eau Claire, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Geoffrey Wolterstorff has worked for Lifemark Securities Corp. since October 1, 2018. Before joining this firm, Wolterstorff was employed by Foresters Equity Services Inc. from March 8, […]

Investors possibly experienced losses because of securities broker Donna Maria Seymour (also known as Donna Maria Pastorik) [CRD: 1714302, Winter Haven, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donna Seymour has worked for Centaurus Financial Inc. since July 27, 2016, and for Ingram Advisory Services LLC since September 15, 2009, […]

Investors might have sustained losses due to securities broker David Gary Simon [CRD: 1064191, Crystal Bay, Nevada], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Simon has worked for Western International Securities Inc. since January 23, 2004. Here’s more about the investor disputes and disclosures concerning this securities broker. Western International […]

Investors possibly experienced losses because of securities broker Cheryl Lyn Knight (also known as Cheri Knight) [CRD: 1854248, Foothill Ranch, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cheryl Knight started working at The Strategic Financial Alliance Inc. on November 12, 2003. Keep reading to learn more about the disclosures involving […]

Investors possibly experienced losses because of securities broker Celeste Oi Ling Leung (also known as Celeste Ling Ho) [CRD: 4812260, Burlingame, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leung worked for Cambridge Investment Research Inc. from May 2, 2024, to June 5, 2024, Ameriprise Financial Services LLC from April 19, 2024, […]

Investors complained about securities broker Anthony George Makransky (also known as Tony Makransky) [CRD: 2103362, League City, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anthony Makransky worked for Ameriprise Financial Services LLC from November 28, 2008, to April 11, 2023, and joined LPL Financial LLC since April 6, 2023. The […]

Investors complained about securities broker / financial advisor Michael Joseph Valenta (also known as Mike Valenta) [CRD: 1386978, Westminster, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Valenta joined Cambridge Investment Research Inc. on June 19, 2008. The following information is an overview of the securities broker’s disclosures. Cambridge Investment […]