Investors might have sustained losses because of securities broker Jonathan Robert Harvey [CRD: 4558464, Doylestown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Harvey worked for Janney Montgomery Scott LLC as a broker since August 30, 2002, and as an investment adviser since March 30, 2006. Keep reading for […]

Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below […]

Investors potentially incurred losses because of securities broker Christian Harvey Johnston [CRD: 2601094, Olive Branch, Mississippi], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Johnston worked for LPL Financial LLC starting on November 30, 2022, after previously working for Infinex Investments Inc. from December 2, 2013, to November 30, 2022. […]

Investors apparently complained about securities broker Kevin Clinton Loyd Jr [CRD: 4447419, Town and Country, Missouri], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Loyd worked for First Allied Securities Inc. from December 16, 2013, to September 8, 2022; Cetera Advisors LLC from September 8, 2022, to June […]

Investors potentially incurred losses because of securities broker Hector Alberto Mena [CRD: 5400535, Hypoluxo, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Mena worked for Cetera Wealth Services LLC beginning November 22, 2021, and for Cetera Investment Advisers LLC beginning July 10, 2023; previously, he was registered […]

Investors might have sustained losses because of securities broker Joseph Andre Darracq [CRD: 1250533, Pleasant Hill, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Darracq worked for Kestra Investment Services LLC from February 4, 2013, to June 14, 2021. Read below to learn more about Darracq’s disclosures. Kestra Investment […]

Investors have reportedly disputed the sales practices of securities broker Gina G. Francisco (also known as Gina Agness and Gina Winters) [CRD: 4490144, Ocala, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Francisco has been registered with LPL Financial LLC from August 21, 2018, to the present […]

Investors might have sustained losses because of securities broker Bryce J. Jones [CRD: 6361728, Washington, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jones worked for Independent Financial Group LLC beginning on October 13, 2022, and previously worked for Merrill Lynch Pierce Fenner Smith Incorporated from August 19, […]

Investors potentially experienced sales practice violations by securities broker Shannon Marie Powers (also known as Shannon Marie Catuogno and Shannon Powers-Solomon) [CRD: 2367198, Ridgefield, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Powers has worked with multiple firms, including Innovation Partners LLC and IP Financial Advisory Services LLC since […]