Investors potentially experienced sales practice violations by securities broker Norbert Helmut Filian (also known as Norb Filian) [CRD: 2998784, Rolling Meadows, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Filian worked for Equitable Advisors LLC beginning February 12, 1998, as a securities broker, and later as a financial advisor starting […]

Investors apparently complained about securities broker John Gilman McCarthy [CRD: 2470464, Hunt Valley, Maryland], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Osaic FA Inc. from February 25, 1999, to January 24, 2025, and then registered with Osaic Wealth Inc. beginning January 24, 2025. Investors are encouraged to continue reading […]

A Washington regulator brought a complaint against securities broker Winston Lawrence Felix [CRD: 7183135, Seattle, Washington], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Felix worked for Edward Jones from January 1, 2020, to February 24, 2025. Investors are encouraged to continue reading to find out […]

Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from […]

Investors potentially experienced sales practice violations by securities broker Larry Jefferson Tolbert [CRD: 1054714, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Larry Tolbert has worked with Integrity Alliance LLC since November 3, 2025, and he has also been registered as a financial advisor with Csenge Advisory Group LLC since September […]

Investors apparently complained about securities broker Michael William Mandarino [CRD: 4443175, Apollo Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Mandarino has been registered with G. A. Repple Company since November 1, 2017, where he has acted as both a broker and an investment adviser. Investors should review […]

Investors have reportedly disputed the sales practices of securities broker Michael Allen Frontino [CRD: 1176514, South Charleston, West Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frontino worked for Woodbury Financial Services Inc. from November 26, 2008, to January 19, 2024, and has been registered with Osaic Wealth Inc. since January 19, […]

Investors apparently complained about securities broker Weina Hou [CRD: 5901613, Redwood City, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hou worked for Cetera Investment Services LLC from December 4, 2018, to January 3, 2025, and has been registered with Ameriprise Financial Services LLC since January 3, 2025. Keep reading […]

Investors potentially incurred losses because of securities broker Mary Colleen Wright (also known as Mary Colleen Leake) [CRD: 1023579, Boulder, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mary Wright has worked for Morgan Stanley since June 1, 2009, where she has been registered as both a broker and an investment adviser. […]