Investors might have sustained losses because of securities broker Michael Paul Vauble [CRD: 1109895, Sac City, Iowa], according to disclosures on FINRA BrokerCheck. Michael Vauble worked for NYLIFE Securities LLC from June 8, 1983 to October 6, 2022. Read below to know more about the disclosures involving this broker. Vauble Accused Of Unsuitable Life Insurance […]

Investors reportedly complained about securities broker John Brian Lee (also known as Brian Lee) [CRD: 2950037, Fort Worth, Texas], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lee worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from June 7, 2012 to August 25, 2021, and […]

Investors potentially experienced sales practice violations due to securities broker Sean P. Righter [CRD: 5419832, Irvine, California], according to disclosures on FINRA BrokerCheck. Righter worked for Morgan Stanley from June 1, 2009 to February 12, 2025. Read on to understand more about the disclosures involving this broker. Morgan Stanley Smith Barney Investor Accused Righter Of […]

Investors may have incurred losses because of securities broker Vincent Roland Bailey Sr. (also known as Vince Bailey) [CRD: 1845517, Batavia, Illinois], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vincent Bailey worked for Berthel Fisher Company Financial Services Inc. from March 31, 2003 to November 26, 2024. Read below to […]

FINRA barred securities broker Brett Allen Rutherford [CRD: 4001310, Morehead City, North Carolina], and investors complaint about him, based on publicly available information found on FINRA BrokerCheck. Brett Rutherford worked for Capital Investment Group Inc. from September 18, 2015 to December 6, 2024. See the following information to find out more about the disclosures involving […]

One or more investors possibly experienced losses because of securities broker Ralph Alvin Jackson III [CRD: 1569213, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ralph Jackson III worked for Morgan Stanley from June 1, 2009 to June 11, 2025. Keep reading to know more about the disclosures reported against […]

One or more investors possibly experienced losses due to securities broker Patrick Roland Hobert [CRD: 805680, Newport Beach, California], according to public information reported on FINRA BrokerCheck. Patrick Hobert joined Centaurus Financial Inc. on July 9, 2007, serving in both securities broker and financial advisor roles. Read below to understand more about the client complaints […]

Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. […]

Investors may have incurred losses due to securities broker Scott Lawrence Olson [CRD: 711256, Melbourne, Florida], according to publicly available information found on FINRA BrokerCheck. Olson joined Innovation Partners LLC on July 13, 2021, and IP Financial Advisory Services LLC on July 14, 2021. He previously worked for firms including Atlantic Financial Advisors LLC, Independent […]