Investors apparently complained about securities broker Damon Merrill [CRD: 4011748, Hillsboro, Oregon], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mapes worked for Cetera Investment Services LLC from February 28, 2013, to March 20, 2020, and from June 10, 2020, to December 21, 2020, and he later registered with LPL Financial […]

Investors have reportedly disputed the sales practices of securities broker John S. Hibshman [CRD: 2193302, Orange Village, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hibshman has worked with Osaic Wealth Inc. since January 24, 2025, and previously worked with Osaic FA Inc. as a financial advisor from January 1, 2000, to […]

Investors potentially incurred losses because of securities broker Gerald O’Niell McGinley (also known as Gerry McGinley) [CRD: 1811084, Westport, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gerald McGinley worked for UBS Financial Services Inc. from December 2, 2015, to the present. See the following information to learn more about […]

Investors have reportedly disputed the sales practices of securities broker Mark Andrew D'Ercole (also known as Mark Andrew Dercle and Mark Anthony Dercle) [CRD: 820220, San Francisco, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark D’Ercole worked for Portsmouth Financial Services from February 21, 2003, to December 31, 2022. […]

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 […]