Investors might have sustained losses due to securities broker Shay W. Scruggs [CRD: 4173046, Houston, Texas], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shay Scruggs worked for Rockefeller Financial LLC and Rockefeller Capital Management since June 5, 2020, and previously worked for UBS Financial Services Inc. from May 2, 2014, […]

Investors potentially experienced sales practice violations by securities broker Brian Joseph Cote [CRD: 4218494, Nashville, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cote worked for GPWA LLC since November 18, 2014, and Gramercy Park Wealth Advisors LLC since May 4, 2017. Keep reading to find out more about the disclosures involving […]

Investors potentially incurred losses because of securities broker Paul Wesley Witthauer [CRD: 1672263, Jamestown, North Dakota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witthauer worked for G. A. Repple Company beginning December 1, 2017, and later became registered as a financial advisor with the same firm on October 28, 2019. Read on […]

Investors have reportedly disputed the sales practices of securities broker John B. Darmanian [CRD: 2899924, Montrose, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Darmanian worked for Western International Securities Inc. from September 11, 2009, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. Investors […]

Investors potentially experienced sales practice violations by securities broker James Patrick Jenkins [CRD: 5261717, Logan, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jenkins worked for Wealth Enhancement Brokerage Services LLC and Wealth Enhancement Advisory Services LLC since January 2, 2026, and previously worked for firms including Strategic Advocates LLC from September […]

Investors might have sustained losses due to securities broker Maria Karina Valido (also known as Maria Karina Payret) [CRD: 6324596, Miami, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Valido worked for Infinex Investments Inc. from February 17, 2015, to April 22, 2022. Keep reading to find out more about […]

Investors apparently complained about securities broker Rainer Rudi Hohlbein (also known as Rainer Rudi Hohlbeim) [CRD: 1282146, Verona, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hohlbein worked for LPL Financial LLC from October 11, 2011, to October 13, 2021. See the following information to find out more about the disclosures involving […]

Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]

Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for […]