One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

Investors potentially experienced sales practice violations because of securities broker Paul Andrew Valdivia [CRD: 6045337, Greenville, South Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Valdivia joined Fidelity Brokerage Services LLC on June 5, 2012, and works as a financial advisor at Strategic Advisers LLC as of March 31, 2025. His previous employment includes Fidelity […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]

One or more investors possibly experienced losses due to securities broker Daniel Silverberg (also known as Dan Silverberg and Danny Silverberg) [CRD: 1576956, Margate City, New Jersey], according to public information on FINRA BrokerCheck. Notably, Silverberg worked for UBS Financial Services Inc. from July 22, 2021, and worked for Morgan Stanley from March 23, 2012 […]

Investors reportedly complained about securities broker Jason Peter Doneth (also known as Jason Peter Daneth) [CRD: 4696330, Salem, Oregon], according to publicly available information on FINRA BrokerCheck. It appears that Doneth worked for LPL Financial LLC from February 13, 2004 to May 21, 2015, and joined Ameriprise Financial Services LLC on May 15, 2015. Keep […]

Investors apparently complained about securities broker Raymond Wyman Chow [CRD: 2860124, Elk Grove, California], according to disclosures on FINRA BrokerCheck. Chow joined Wedbush Securities Inc. in Elk Grove, California, as both a securities broker and financial advisor on March 20, 2008. Below, you can learn more about the disclosures involving Raymond Chow. Wedbush Securities Client […]

Investors potentially experienced sales practice violations because of securities broker Eric Scott Ruthman [CRD: 6281076, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ruthman joined Purshe Kaplan Sterling Investments on August 11, 2021, and Phase Line Capital LLC on July 12, 2021. He previously worked for LPL Financial LLC in […]

Investors might have sustained losses because of securities broker Daniel Isreal Schapiro (also known as Dan Schapiro) [CRD: 2335244, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schapiro joined Dominari Securities LLC on March 1, 2024. Previously, he worked at Aegis Capital Corporation from August 15, 2017 to March […]