Investors potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]

Investors might have sustained losses due to securities broker Roger William Bowlin [CRD: 1905652, Kirkland, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bowlin worked for Aurora Securities beginning April 30, 2021, and also served as an investment adviser with Secure Asset Management LLC starting June 4, 2021; previously, he was registered […]

Investors have reportedly disputed the sales practices of securities broker Trawnegan Gall [CRD: 6266415, Richmond, Virginia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gall worked for Sandlapper Securities LLC from November 20, 2013, to March 22, 2019, Cabot Lodge Securities LLC from March 21, 2019, to November 1, 2019, and […]

Investors potentially incurred losses because of securities broker Ryan Jonathan Sherer [CRD: 5952617, Reno, Nevada], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Sherer has been registered with Emerson Equity LLC since April 15, 2019, where he has worked as both a broker and an investment adviser. Investors can see below […]

Investors potentially experienced sales practice violations by securities broker Jason Anthony Russo [CRD: 2588652, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Russo worked for Laidlaw Company beginning on July 16, 2004, and remains registered with the firm. Investors should continue reading to discover more about the disclosures […]

Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue […]

Investors might have sustained losses due to securities broker Robert Edward Burns (also known as Rob Burns) [CRD: 4066393, Greenwood Village, Colorado], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Burns worked for Cetera Wealth Services LLC beginning September 20, 2019, and later became registered with Cetera Investment Advisers LLC on June […]

Investors potentially incurred losses because of securities broker Christopher Michael Dukes (also known as Chris Dukes) [CRD: 4712873, Westlake Village, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Dukes worked for WestPark Capital Inc. beginning November 14, 2017, and previously worked for Delta Investment Management LLC from November 1, 2018, to […]

Investors potentially experienced sales practice violations by securities broker Garth James Lurvey [CRD: 4729301, Winter Park, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garth Lurvey worked for LPL Financial LLC from December 15, 2016, to March 17, 2022, and later for Private Client Services LLC from March 14, 2022, […]