One or more investors apparently complained about securities broker Mark Raymond Reynolds [CRD: 1639111, Chicago, Illinois], according to disclosures through FINRA’s BrokerCheck. Evidently, Mark Reynolds has been registered with Oppenheimer Co. Inc. since August 31, 2005, working from its Chicago, Illinois, and Barrington, Illinois offices. Below, you can learn more about the disclosures involving Reynolds. […]

Investors potentially experienced sales practice violations because of securities broker James Kellett Darlington II (also known as James Kellett Darlington, Jim Darlington II, Jimm Darlington II, Jimmy Darlington II) [CRD: 2004439, Knoxville, Tennessee], based on disclosures through FINRA’s BrokerCheck. Evidently, Darlington worked for UBS Financial Services Inc. from January 4, 2008, to September 21, 2021. […]

Investors might have sustained losses due to securities broker Kenneth Scott Wingerter (also known as Ken Wingerter) [CRD: 2741587, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kenneth Wingerter worked for Morgan Stanley since May 14, 2021, and was previously employed by Wells Fargo Clearing Services LLC from May 12, […]

Investors potentially experienced sales practice violations due to securities broker Anthony Mampieri (also known as Anthony Ralph Mampieri or Tony Mampieri) [CRD: 1653703, Dublin, Ohio], according to publicly available information on FINRA BrokerCheck. Evidently, Mampieri worked for Morgan Stanley from August 20, 2010, to October 24, 2023. Since then, he has been registered with Wells […]

Investors potentially experienced sales practice violations due to securities broker Yi Guo [CRD: 6246079, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yi Guo has been a registered broker with Univest Securities LLC in New York, New York, since April 21, 2016. Keep reading to find out more […]

Investors potentially experienced losses due to securities broker Keith Russell Morgan (also known as Keith Morgan) [CRD: 3139407, Dalton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan worked for Steward Partners Investment Solutions LLC from July 15, 2010, and became registered with Steward Partners Investment Advisory LLC on May 1, […]

One or more investors apparently complained about securities broker Todd William Walker [CRD: 2503388, Biloxi, Mississippi], according to disclosures on FINRA BrokerCheck. Evidently, Todd Walker has been registered with Centaurus Financial Inc. at its Centennial, Colorado, branch since January 12, 2005, and registered as an investment adviser with the same firm since January 9, 2012. […]

Investors potentially experienced sales practice violations because of securities broker Erik Craig Olson [CRD: 4794857, Crystal Lake, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Olson has been employed by Arete Wealth Management LLC since March 31, 2010, and Arete Wealth Advisors LLC since April 1, 2010—both located at 1 North […]

Investors might have sustained losses due to securities broker Robert Gerard Devita [CRD: 1865964, Downers Grove, Illinois], according to publicly available information through FINRA’s BrokerCheck. Evidently, Robert Devita joined Ausdal Financial Partners Inc. on July 1, 2010, working as both a broker and investment adviser representative. Below, you can discover more about the disclosures involving […]