Investors potentially incurred losses because of securities broker Jan Earl Haynes [CRD: 833875, La Jolla, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Haynes worked for Integrity Brokerage Services Inc. from January 3, 2017, to April 20, 2020. Investors can see below to find out more about disclosures involving this broker. […]

Investors have reportedly disputed the sales practices of securities broker Craig Gordon Johnson [CRD: 721657, Westlake Village, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Craig Johnson worked for Western International Securities Inc. from March 16, 2015, to June 5, 2025, and has been registered with LPL Financial LLC since […]

Investors apparently complained about securities broker H. Todd Roggen (also known as T. Todd Roggen) [CRD: 721463, Houston, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Roggen worked for Raymond James Financial Services Inc. from June 23, 2010, to November 1, 2024. Keep reading to discover more about […]

Investors might have sustained losses because of securities broker Roderick Rodriguez (also known as Roderick Rodriquez) [CRD: 2680445, Bronx, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rodriguez worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and beginning on September 29, 2020, as […]

Investors have reportedly disputed the sales practices of securities broker Gregory Norman Grajek (also known as Greg Grajek) [CRD: 1220268, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grajek worked for UBS Financial Services Inc. from December 17, 2008, to December 31, 2024. Read below to […]

Investors potentially incurred losses because of securities broker Ting Kuo Chen (also known as Daniel Chen and Tingkuo Chen) [CRD: 2394916, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Chen worked for Landolt Securities Inc. beginning on November 17, 2017, and for TKC Wealth Management LLC […]

Investors apparently complained about securities broker Steven Michael Brundage (also known as Steve Brundage) [CRD: 2597779, Las Vegas, Nevada], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brundage worked for Ameriprise Financial Services LLC beginning on October 4, 1996, as a broker and March 9, 2001, as an investment […]

Investors potentially experienced sales practice violations by securities broker Robert Randolph Lott (also known as Randy Lott) [CRD: 712795, Birmingham, Alabama], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lott worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning on May 27, 2020, and […]

Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]