Investors reportedly complained about securities broker Christopher Martin Hayes (also known as Chris Hayes) [CRD: 2333190, Centerville, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Hayes joined Fifth Third Securities Inc. on August 30, 2004, and became a financial advisor with the same firm on February 14, 2005. Read on to […]

Investors potentially experienced sales practice violations due to securities broker Richard Dennis Laspaluto (also known as Rick Laspaluto) [CRD: 2541603, Las Vegas, Nevada], according to publicly available information on FINRA BrokerCheck. It appears that Richard Laspaluto joined Centaurus Financial Inc. on August 29, 2005, working as both a securities broker and financial advisor. Read the […]

One or more investors possibly experienced losses because of securities broker John Austin Howle [CRD: 1284162, Dallas, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Howle worked for USCA Securities LLC beginning August 1, 2014, and also registered with U.S. Capital Wealth Advisors LLC as of June 30, 2021. Previously, […]

Investors might have sustained losses due to securities broker Harold Francis Puhl (also known as Chip Puhl) [CRD: 1045552, Dallas, Texas], according to disclosures on FINRA BrokerCheck. Notably, Puhl joined Cetera Wealth Services LLC on October 17, 2002, and Cetera Investment Advisers LLC on June 29, 2023. He was previously registered with Cetera Advisor Networks […]

Investors apparently complained about securities broker Cary Edward Urich [CRD: 2132001, Greenville, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Urich joined Vanderbilt Securities LLC, Consolidated Portfolio Review Corp, and Vanderbilt Advisory Services, all located in Greenville, South Carolina, in 2024-2025. He previously worked with United Planners’ Financial Services of […]

Investors potentially experienced sales practice violations because of securities broker Stephen Chester Kiszlowski (also known as Steve Kiszlowski) [CRD: 2440000, Grosse Pointe Woods, Michigan], according to disclosures on FINRA BrokerCheck. It appears that Kiszlowski worked for Center Street Securities Inc. from October 29, 2018 to March 9, 2023, and for Independence Capital Co. Inc. from […]

Investors might have sustained losses due to securities broker Allison Jean Terlip [CRD: 5530486, Navarre, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Terlip worked for Ameritas Investment Company LLC from July 21, 2022 to October 12, 2023; MML Investors Services LLC from August 1, 2019 to May 10, 2022; and […]

One or more investors possibly experienced losses because of securities broker Donald Ray McFarland (also known as Don McFarland, Donnie McFarland, and Mac McFarland) [CRD: 1206382, Oklahoma City, Oklahoma], according to publicly available information on FINRA BrokerCheck. Notably, Donald McFarland worked for Centaurus Financial, Inc. from October 19, 2004 to December 16, 2021. Read the […]

Investors potentially experienced sales practice violations due to securities broker Justin Duane Mundt [CRD: 5652696, St. Charles, Minnesota], according to disclosures on FINRA BrokerCheck. Evidently, Mundt worked for FBL Marketing Services LLC from April 3, 2009 to December 4, 2020. He joined Mundt and Associates on April 2014, and currently serves as a financial advisor […]