Investors apparently complained about securities broker Randy Harris Schild [CRD: 2410144, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Schild has worked for Merrill Lynch Pierce Fenner Smith Incorporated since April 12, 2013. Keep reading to learn more about Schild’s disclosures involving client disputes and alleged sales practice violations. Merrill Lynch […]

Investors reportedly may have incurred losses because of securities broker Paul Wayne Edwards [CRD: 5967107, Palm Bay, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Paul Edwards worked for NYLIFE Securities LLC from August 20, 2012, to June 2, 2023. Keep reading to learn more about the client complaints involving this broker. FINRA Sanctioned Edwards […]

Investors potentially experienced losses due to securities broker Hermogenes-Gil Patrick Tantoco (also known as Patrick Tantoco or Hermongenes Gil Patrick Tantoco) [CRD: 5249850, Honolulu, Hawaii], according to disclosures on FINRA BrokerCheck. It appears that Tantoco worked for Independent Financial Group LLC until December 2016 and has been registered with Osaic Wealth Inc. since March 8, […]

Investors might have sustained losses because of securities broker Larry Richard Hancock [CRD: 1514911, Federal Way, Washington], according to disclosures on FINRA BrokerCheck. Apparently, Hancock worked for Purshe Kaplan Sterling Investments from December 3, 2010, to January 2, 2020. He currently operates as President of ProActive Retirement Solutions and also serves as an investment adviser […]

Investors potentially experienced losses due to securities broker Jerry Dale Kiefer [CRD: 2271043, Edmond, Oklahoma], according to disclosures on FINRA BrokerCheck. Apparently, Kiefer has been employed by Equitable Advisors since June 2, 2006. Keep reading to learn more about the disclosures involving this securities broker. Equitable Advisors Investor Accused Kiefer Of Unsuitable Recommendations Evidently, an […]

Investors potentially experienced losses because of securities broker James Taylor Davis [CRD: 6646090, Lexington, Kentucky], according to disclosures on FINRA BrokerCheck. It appears that Davis worked for Northwestern Mutual Investment Services LLC from December 13, 2017, to June 21, 2024. Keep reading to learn more about the client disputes regarding Davis. Northwestern Mutual Investment Services […]

Investors apparently complained about securities broker Howard Jeffrey Douglas [CRD: 1043662, Dix Hills, New York], according to disclosures on FINRA BrokerCheck. Apparently, Douglas worked for Equitable Advisors LLC from June 1, 2005, to December 7, 2021. He subsequently registered with APS Wealth Management LLC, American Portfolios Advisors Inc., American Portfolios Financial Services Inc., and currently […]

Investors apparently complained about securities broker Brian Troy Hinson [CRD: 2783737, Huntsville, Alabama], according to disclosures on FINRA BrokerCheck. It appears that Brian Hinson worked for LPL Financial LLC from April 30, 2015 to December 5, 2023. Keep reading to learn more about Hinson’s disclosures involving investor allegations. Lincoln Financial Advisors Corporation Investor Accused Hinson […]

FINRA sanctioned securities broker Blaine Robert Stahlman [CRD: 1189213, Castle Rock, Colorado], according to disclosures on FINRA BrokerCheck. Apparently, Blaine Stahlman worked for Professional Broker-Dealer Financial Planning Inc. from July 6, 1989, to July 8, 2024, and for American Global Wealth Management Inc. beginning May 8, 2023. He is currently registered with First Asset Financial […]