Investors potentially experienced sales practice violations by securities broker Samuel Hughes Butterworth III (also known as Sam Butterworth) [CRD: 2793567, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Butterworth has worked for Merrill Lynch since October 23, 2009. Read on to find out more about Butterworth’s client-dispute disclosures. Sam Butterworth Disclosed […]

Investors apparently complained about securities broker Duvan Ledbetter Brock [CRD: 1632101, Calhoun, Georgia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brock was registered with Dempsey Lord Smith LLC as a securities broker from August 24, 2009, to November 21, 2025, and as a financial advisor from August 26, 2009, to […]

Investors potentially incurred losses because of securities broker Juan Pablo Rionda [CRD: 2363399, Delray Beach, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rionda has been registered with Merrill Lynch as a securities broker since September 10, 1993, and as a financial advisor since September 16, 1993. See below to discover […]

Investors potentially experienced sales practice violations by securities broker John Patrick Hoile (also known as Jack Hoile) [CRD: 3235563, Raleigh, North Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hoile has worked for Wells Fargo Clearing Services and Wells Fargo Advisors since October 6, 2017; the disclosures also identify Equitable […]

Investors might have sustained losses due to financial advisor Dustin Robert Stanley [CRD: 6402870, Sarasota, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stanley worked for Strategic Wealth Investment Group LLC from December 2, 2014, to February 11, 2025; Prime Capital Financial from February 27, 2025, to October 1, 2025; and […]

Investors may have sustained losses involving Chad Dwight Faulkenberry [CRD: 4827957, Winter Springs, Florida], according to FINRA BrokerCheck. Faulkenberry is currently registered with Hightower Advisors LLC and Hightower Securities LLC. He previously worked for Journey Strategic Wealth LLC, Schwab Wealth Advisory Inc., and Charles Schwab Co. Inc. His record includes a regulatory action and client […]

Investors might have sustained losses due to securities broker Jose Anthony Quinones Jr. (also known as Tony Quinones) [CRD: 1310742, Kissimmee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Quinones worked for PFS Investments Inc. from October 29, 2014, to December 31, 2024. See below to find out more about Quinones and […]

Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]

Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza has worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC since August 10, 2022, and previously worked for Hancock Whitney Investment Services Inc. from February […]