Investors might have sustained losses due to securities broker Richard G. Michalski [CRD: 4588706, New York, New York], according to disclosures on FINRA BrokerCheck. Evidently, Michalski has worked for Laidlaw Company (UK) Ltd. since October 27, 2010. Below, you can find important information about what investors allege took place. Michalski Involved In Investor Dispute Regarding […]

Investors might have sustained losses due to securities broker Daniel Tuan Kien Loy (also known as Tuan Loy) [CRD: 3029654, Milpitas, California], according to disclosures on FINRA BrokerCheck. Evidently, Daniel Loy has worked with Independent Financial Group LLC following his registration with Voya Financial Advisors. Check out the following information about the disclosures involving this […]

Investors possibly experienced sales practice violations because of securities broker Christopher Mark DiBari (also known as Chris DiBari) [CRD: 3012315, Milford, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DiBari worked for PNC Investments from July 14, 2011, to the present. Below, you can find important information about the disclosures involving this […]

Investors potentially experienced losses because of securities broker Todd Ryan Blessing [CRD: 4369846, Cincinnati, Ohio], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Blessing worked for CUSO Financial Services L.P. from October 19, 2011, to May 15, 2025, and is currently working with LPL Financial LLC as of May […]

One or more investors apparently complained about securities broker Aaron Paul Rask [CRD: 5960444, Broomfield, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Aaron Rask worked for NYLIFE Securities LLC from January 30, 2012, to June 21, 2024, and is currently working with MML Investors Services LLC as of June 27, […]

Investors might have sustained losses due to securities broker Stacy Bryant Bush [CRD: 4190887, Valdosta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Stacy Bush worked for LPL Financial LLC from November 5, 2004, to August 16, 2019. Check out the following information about the disclosures involving Bush. LPL Financial Investor Accused Bush Of Unsuitable […]

Investors possibly experienced losses due to securities broker Stephen Parker Nitz (also known as Steve Nitz) [CRD: 1298437, Ridgefield, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Nitz worked for Osaic Institutions Inc. from May 10, 2007 to May 8, 2024, and works for Steward Partners Investment Solutions […]

Investors might have sustained losses due to securities broker Jean-Pierre Daniel Gobic (also known as Jeanpierre Gobic) [CRD: 4380699, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jean-Pierre Gobic has worked for Morgan Stanley in Sarasota, Florida, since March 5, 2010, as a broker, and since March 15, 2010, as an investment adviser. Check […]

One or more investors apparently complained about securities broker Doran Calvin James [CRD: 1764628, Rock Springs, Wyoming], according to publicly available disclosures on FINRA BrokerCheck. It appears that James worked for LPL Financial LLC from November 11, 2011, to May 8, 2023, and has worked for J.W. Cole Financial Inc. and J.W. Cole Advisors Inc. […]