Investors reportedly complained about securities broker Stephen Berrocal (also known as Steve Berrocal) [CRD: 3071400, Coral Gables, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Berrocal joined Truist Investment Services Inc. on August 2, 2013, and Truist Advisory Services Inc. on August 24, 2016. See the following information to find out more […]

Investors might have sustained losses due to securities broker Michael Steven Yarus [CRD: 1543852, Paramus, New Jersey], according to public information reported on FINRA BrokerCheck. Michael Yarus worked for Wells Fargo Clearing Services LLC from May 24, 2012 to February 13, 2023, and most recently for Carter, Terry Company Inc. from February 21, 2023 to […]

Investors reportedly complained about securities broker Christopher Thomas Brothers (also known as Chris Brothers) [CRD: 2186156, Fort Lauderdale, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Brothers joined Maxim Group LLC on November 18, 2009. See the following information to find out more about the disclosures related to Brothers and the […]

Investors potentially experienced sales practice violations because of securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to publicly available information reported on FINRA BrokerCheck. Craig Thistlethwaite worked for Morgan Stanley from June 1, 2009 to February 16, 2023. Read below to learn more about the regulatory action taken against Thistlethwaite. FINRA Fined Craig […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]

One or more investors possibly experienced losses because of securities broker Travis Loren Braulick [CRD: 6716541, New Ulm, Minnesota], based on public information found on FINRA BrokerCheck. Braulick joined Calton Associates Inc. on August 29, 2024. Prior to that, he worked for Bankers Life Securities Inc. in Rochester, Minnesota, from April 24, 2019 to September […]

Investors reportedly complained about securities broker Richard John Belz [CRD: 1140219, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Belz joined RF Lafferty Co. Inc. on November 29, 2016, and continues to work with the firm at its Wall Street office. Read below to know more about the pending […]

Investors may have incurred losses because of securities broker Michael Rolf Siek [CRD: 2072767, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Siek worked for Aegis Capital Corp. from December 8, 2014 to April 3, 2024, and joined Dominari Securities LLC on March 4, 2024. See the following information […]

Investors potentially experienced sales practice violations due to securities broker Michael Clifford Graham [CRD: 3263494, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Graham worked for LPL Financial LLC from April 24, 2019 to June 23, 2025, and for Principal Securities Inc. from January 26, 2012 to May 2, […]