One or more investors apparently complained about securities broker Cynthia S. Smith (also known as Cynthia Stein) [CRD: 2386038, Fort Myers, Florida], based on disclosures through FINRA’s BrokerCheck. Smith has been registered with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Myers, Florida, since April 2, 2002. She has worked continuously with this firm in […]

Investors might have sustained losses due to securities broker Randy Cleve Fox (also known as Randy Fox) [CRD: 2726566, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randy Fox worked for GT Securities Inc. from January 30, 2023, to April 17, 2024. Keep reading to discover more about the […]

Investors potentially experienced losses because of securities broker Bowman James Nicholson (also known as Bowman J. Nicholson) [CRD: 6050450, Raleigh, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bowman Nicholson has been employed by Capital Investment Group Inc. and Capital Investment Advisory Services LLC since May 5, 2016. Both firms […]

Investors potentially experienced sales practice violations due to securities broker Peter Allen Barry [CRD: 2235548, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Peter Barry has been registered with Raymond James Associates Inc., located at 10250 Constellation Blvd. Suite 850, Los Angeles, California, since April 18, 2018, and has also been associated with […]

One or more investors apparently complained about securities broker Angela Mullis Bender (also known as Angela Ruth Mullis) [CRD: 5208180, Leesburg, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Angela Bender has worked for Osaic Wealth Inc. since August 23, 2024, and for AMJ Financial Wealth Management LLC since June 1, 2012. She […]

Investors potentially experienced losses due to securities broker John Anthony Cutrone III (also known as John Anthony Cutrone) [CRD: 6427013, New York, New York], based on disclosures on FINRA BrokerCheck. Evidently, Cutrone worked for Aegis Capital Corp. from August 30, 2017, to June 14, 2024. Keep reading to discover more about the disclosures made against […]

Investors potentially experienced losses due to securities broker Joel Alexander Minner [CRD: 6829281, Clarksville, Tennessee], based on disclosures on FINRA BrokerCheck. Evidently, Joel Minner worked for HD Vest Investment Services from September 27, 2017, to May 18, 2018, then for Avantax Investment Services Inc. from August 29, 2018, to August 6, 2024, and most recently […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Steinberg (also known as Jeff Steinberg) [CRD: 2610793, Port Saint Lucie, Florida], according to disclosures through FINRA’s BrokerCheck. Steinberg has been registered with Avantax Investment Services Inc. since October 25, 2019; Avantax Planning Partners Inc. since June 29, 2022; and Avantax Advisory Services since […]

Investors potentially experienced losses due to securities broker Mark Edward Brooks [CRD: 2174252, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mark Brooks has worked for Northwestern Mutual Investment Services LLC since September 19, 1991. Keep reading to learn more about the disclosures involving this securities broker and what they […]