Investors potentially incurred losses because of securities broker James Patrick Doherty III [CRD: 859882, Trail Creek, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Doherty has worked for Morgan Stanley beginning June 1, 2009, and remains registered with the firm. Continue reading to discover more about the disclosures involving this […]

Investors have reportedly disputed the sales practices of securities broker Austin Bowlin [CRD: 5674142, Portland, Oregon], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Austin Bowlin worked for Aurora Securities from April 27, 2021, to the present, and Secure Asset Management LLC from May 4, 2021, to the present, after previously […]

Investors potentially incurred losses because of securities broker Elijah Grant Goble [CRD: 6760147, Costa Mesa, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goble worked for Merrill Lynch from April 13, 2017, to March 5, 2018, and has been registered with Citigroup Global Markets Inc. since March 26, 2018. Investors should […]

Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this […]

Investors potentially experienced sales practice violations by securities broker Nader M. Gandevani (also known as Ned Gandevani) [CRD: 2770412, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gandevani worked for WestPark Capital Inc. from June 13, 2018, to March 6, 2020; Moloney Securities Co. Inc. from March 5, 2020, […]

FINRA fined and suspended securities broker Thomas Gregory Scheiman [CRD: 1508288, Parma, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scheiman worked for Independence Capital Co. Inc. beginning March 8, 1990, and later served as an investment adviser with the same firm starting April 1, 2003. Investors can see below to […]

Investors apparently complained about securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Horowitz has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Continue reading to discover more about disclosures associated with Horowitz’s record. Wells Fargo […]

Investors potentially incurred losses because of securities broker Donald Edward Wallace [CRD: 1471984, Fort Lauderdale, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wallace worked for D.H. Hill Securities, LLLP from May 16, 2017, to October 5, 2023. Investors should continue reading to learn more about Wallace’s client dispute disclosures. […]

Investors might have sustained losses due to securities broker David John Segarra [CRD: 4482059, Las Vegas, Nevada], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Segarra worked for LPL Financial LLC beginning January 22, 2024, and previously worked for Centaurus Financial Inc. from October 29, 2008, to January 19, 2024. Investors can see […]