Investors apparently complained about securities broker Brian Kenneth Court [CRD: 2591547, Melville, New York], according to publicly available information on FINRA BrokerCheck. Evidently, Court worked for Aegis Capital Corp. from May 2, 2014, to January 30, 2024. Read on for details about Court’s disclosures and regulatory actions. FINRA Sanctioned Court For Discretionary Trading Particularly, on […]

Investors have reportedly disputed the sales practices of securities broker Kevin Joseph Schaefer [CRD: 1286030, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kevin Schaefer has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors in San Francisco, California, since August 16, 2019. Previously, he worked […]

Investors possibly experienced sales practice violations by securities broker Patrick Joseph Groarke [CRD: 2213512, Blue Bell, Pennsylvania], according to public information on FINRA BrokerCheck. Evidently, Patrick Groarke worked for Wells Fargo Clearing Services LLC from June 20, 2013, to August 23, 2023, and has been registered with Cetera Wealth Services LLC since August 17, 2023, […]

Investors might have sustained losses because of securities broker Lisa Babin Mantei (also known as Lisa Lyn Babin-Mantei and Lisa Lyn Mantei) [CRD: 2230735, Lexington, South Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mantei worked for Centaurus Financial Inc. since May 19, 2015, and was also previously employed […]

Investors potentially experienced sales practice violations due to securities broker Edmund Michael Iannelli [CRD: 2052704, Saddle Brook, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Edmund Iannelli has been registered with Ameriprise Financial Services LLC since November 8, 2019, and previously worked with Morgan Stanley in Paramus, New Jersey, from June 1, […]

Investors have reportedly disputed the sales practices of securities broker Matthew Jay Kutcher (also known as Matt Kutcher) [CRD: 2456469, Palm Beach, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kutcher has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors, both in Palm Beach, Florida, […]

Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]

Investors potentially incurred losses because of securities broker Thomas Marion McDonald [CRD: 326904, Cleveland, Ohio], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDonald worked for McDonald Partners LLC from December 7, 2005, to March 17, 2025. See the following summary for details about McDonald’s disclosures and the disputes involving […]

Investors apparently complained about securities broker Sonia Maria Attkiss (also known as Sonia Tron) [CRD: 2936806, Westport, Connecticut], based on disclosures on FINRA BrokerCheck. Evidently, Sonia Attkiss has been registered with UBS Financial Services Inc. since November 20, 2015, and works out of the firm’s offices in New York, New York, and Westport, Connecticut. Read […]