One or more investors apparently complained about securities broker UnBo Chung (also known as Bob Chung) [CRD: 6208569, Chicago, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chung has worked for Arete Wealth Management LLC since August 8, 2013, and Arete Wealth Advisors LLC since December 5, 2013. He was previously […]

Investors might have sustained losses due to securities broker Scott Christopher Jackson [CRD: 4443921, Tampa, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jackson has worked for J.W. Cole Financial Inc. since October 1, 2014, and J.W. Cole Advisors Inc. since October 2, 2014. Below, investors can review details about the securities broker’s disclosures, including […]

Investors potentially experienced sales practice violations due to securities broker Jason Christopher Klein [CRD: 2038304, Buffalo, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Klein has worked for UBS Financial Services Inc. in Buffalo, New York, since February 9, 2007, as both a broker and an investment adviser. Check […]

Investors might have sustained losses due to securities broker Mario Joseph Payne [CRD: 5445757, Jacksonville, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mario Payne worked for Raymond James Financial Services Inc. from May 3, 2013, to February 12, 2019. Below, you can find important information about the disclosures […]

Investors might have sustained losses due to securities broker Suihock Goy [CRD: 2821380, Milpitas, California], according to disclosures on FINRA BrokerCheck. Goy has worked for NI Advisors in Milpitas, California, since August 16, 2005, in a brokerage capacity, and since May 24, 2012, as an investment adviser. Check out the following information about the disclosures […]

Investors possibly experienced sales practice violations because of securities broker William Stuart Horak (also known as Bill Horak) [CRD: 1462594, Tallahassee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Horak has worked with Purshe Kaplan Sterling Investments since May 5, 2014, and Wealth Management Corporation since November 26, 1990. Below, investors […]

One or more investors apparently complained about securities broker Matthew Ryan Stucke (also known as Matt Stucke) [CRD: 4840895, Milton, Georgia], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It seems that Stucke has worked for Cetera Advisor Networks LLC since October 26, 2022, and Cetera Investment Advisers LLC since March […]

FINRA barred securities broker Jeffrey Arthur Perryman [CRD: 2019969, Johnstown, Colorado] and investors complained about him, according to disclosures on FINRA BrokerCheck. Apparently, Perryman worked for NYLIFE Securities LLC from April 11, 1990, to May 9, 2024. Keep reading to learn more about the pending allegations concerning Perryman’s conduct while working with this brokerage firm. […]

Investors might have sustained losses due to securities broker Stephen Robert Marotto (also known as Steve Marotto) [CRD: 5473140, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Marotto worked for First Republic Securities Company LLC and First Republic Investment Management Inc. from January 17, 2013, to May 19, […]