Investors apparently complained about securities broker John Michael Clark [CRD: 6596483, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Clark worked for LPL Enterprise LLC from November 14, 2024, to February 3, 2025, and for Pruco Securities LLC from February 18, 2016, to November 14, 2024. Keep reading […]

Investors might have sustained losses because of securities broker William Stoddard Valentine [CRD: 707507, Jenkintown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Valentine has been registered with Oppenheimer Co. Inc. since November 11, 2016 (broker) and November 14, 2016 (investment adviser). See below to find out more about […]

Investors apparently complained about securities broker Stephanie Renee Hughes [CRD: 6563274, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hughes worked for Securian Financial Services Inc. from December 24, 2015, to August 10, 2023, and for Cetera Advisor Networks LLC from August 10, 2023, to June […]

Investors might have sustained losses because of securities broker Adam Ross Lunceford [CRD: 4686499, Scottsdale, Arizona], based on publicly available information on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lunceford worked for LPL Financial LLC from October 29, 2013, to May 25, 2023. See below to learn more about Lunceford’s disclosures. LPL […]

Investors potentially experienced sales practice violations by securities broker Raymond Noel Garner [CRD: 1489704, Saint Augustine, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garner worked for Lifemark Securities Corp. from November 6, 2018, to July 15, 2020. Read on to find out more about the disclosures involving […]

Investors apparently complained about securities broker Joseph Brian Glaze (also known as J. Brian Glaze) [CRD: 5373140, Graham, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Glaze previously worked for LPL Financial LLC from December 14, 2012, to September 2, 2022; Avantax Investment Services Inc. and […]

Investors have reportedly disputed the sales practices of securities broker Patrick H. Siria (also known as Pat H. Siria) [CRD: 2561101, Lexington, Kentucky], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Siria worked for Cetera Investment Services LLC from June 20, 2019, to October 23, 2023. See below for […]

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors […]

Investors potentially experienced sales practice violations by securities broker Jack Frank Bruscianelli [CRD: 2113986, Oakbrook Terrace, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bruscianelli worked for National Securities Corporation from January 2, 2002, to July 22, 2022, and has been registered with B. Riley Wealth Management since July 22, […]