Investors potentially incurred losses because of securities broker Richard Raymond Brown [CRD: 2541545, Valley Village, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brown worked for Lincoln Financial Advisors Corporation from December 19, 1997, to December 26, 2019, and has been associated with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]

Investors potentially experienced sales practice violations by securities broker Raffi Robert Vartanian (also known as Ralph Robert Vartanian) [CRD: 2261085, Coral Springs, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vartanian worked for Morgan Stanley from September 8, 2023, to April 29, 2026, and previously worked for UBS Financial Services Inc. […]

Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors apparently complained about securities broker Mark Andrew MacArthur [CRD: 2411397, Newhall, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. MacArthur worked for Ausdal Financial Partners Inc. from November 1, 2006, to November 1, 2023, was affiliated with Criterion Wealth Management from January 2008 to August 2017, and joined […]

Investors may have suffered financial harm by securities broker Tracy Lynn Helmer (also known as Tracy Lynn Poole) [CRD: 4803908, Evansville, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Helmer has been registered with LPL Financial LLC as a securities broker since November 12, 2012, and as a financial advisor since […]

Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]