Investors potentially incurred losses because of securities broker Thomas Woodward Hulick (also known as Tom Hulick) [CRD: 1806305, Woodcliff Lake, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hulick worked for Newbridge Securities Corporation from March 26, 2019, to May 12, 2020, and has been employed by Strategy Asset […]

Investors apparently complained about securities broker Rogers Kenneth Haydon III [CRD: 4452565, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Haydon worked for Raymond James & Associates Inc. from February 13, 2013, to September 4, 2025. Keep reading to find out more about the disclosures involving this individual. Raymond James Terminated Haydon For Violating […]

Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]

Investors have reportedly disputed the sales practices of securities broker Samuel E. Barber [CRD: 4750380, Naugatuck, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barber has worked with Lifemark Securities Corp. since May 12, 2017, and was previously registered with MML Investors Services LLC in Norwalk, Connecticut, from August 10, […]

Investors apparently complained about securities broker Jesus Quezada [CRD: 5117930, Alhambra, California], according to public information on FINRA BrokerCheck. Evidently, Quezada has been registered with Alexander Capital L.P. since January 3, 2023, and Alexander Capital Wealth Management LLC since January 4, 2023. Previously, he worked for Crown Capital Securities L.P. from February 27, 2017, to […]

Investors might have sustained losses because of securities broker Anita Louise Lester (also known as Anita Lester Wolfe) [CRD: 4478199, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anita Lester worked for Berthel Fisher Company Financial Services Inc. from July 26, 2013, to October 11, 2018. Read on to learn […]

Investors potentially experienced sales practice violations due to securities broker Larry Milton Ware [CRD: 3053841, Graham, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Larry Ware worked for Avantax Advisory Services and Avantax Investment Services from September 1, 2022, to September 5, 2025; LPL Financial LLC from January 12, 2012, to September 2, 2022; […]

Investors apparently complained about securities broker Ignacio Carlos Tejera [CRD: 4422696, Coral Gables, Florida], according to public information on FINRA BrokerCheck. Evidently, Tejera has worked for Truist Investment Services Inc. since September 24, 2002, and for Truist Advisory Services Inc. since October 27, 2016. Read below to learn more about Tejera’s disclosures and investor complaints. […]

Investors possibly experienced sales practice violations by securities broker John Howley Whalen [CRD: 1900188, Honolulu, Hawaii], according to public information on FINRA BrokerCheck. Evidently, Whalen has been registered with Commonwealth Financial Network in Honolulu, Hawaii, since May 29, 2015, and concurrently as an investment adviser representative with the same firm since June 2, 2015. Previously, […]