Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Indianapolis, Indiana]. Theodore Byrer previously worked for Morgan Stanley from November 2013 to April 2023, among other firms, including Raymond James & Associates, A.G. Edwards & Sons, and International Assets Advisory. Recent disclosures raise […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory DePaul Whelan (also known as Gregory Whelan) [CRD: 5247677, Fort Lauderdale, Florida]. Gregory Whelan previously worked for UBS Financial Services Inc. from January 2011 to July 2011 and Morgan Stanley from August 2011 to May 2013. Since April 2013, he has been registered […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Thomas Edwin Moran [CRD: 1938300, New York, New York]. Evidently, Moran has worked for Citigroup Global Markets Inc. since January 4, 2013. Previously, he worked for Gruntal Co. LLC. Investors have raised concerns about Moran’s sales practices, leading to client disputes over the years. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses information about securities broker / financial advisor Michael Harris Sears [CRD: 2205917, Englewood, Florida]. Sears has worked for several employers, including Osaic Wealth Inc. in Virginia Beach, Virginia, since January 19, 2024, and previously with Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024. He […]

Investors possibly experienced losses because of securities broker Kyle M. Wool [CRD: 4238101, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Wool worked for various firms, including Morgan Stanley from May 6, 2013, to February 18, 2021, Revere Securities LLC from January 20, 2021, to April 12, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners […]

Investors possibly experienced losses because of securities broker Tamara Ann Glenn (also known as Tamara Ann Dawson, Tamara Ann Gallegos, and Tamara Haselby) [CRD: 4324857, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tamara Glenn worked for LPL Financial LLC from June 13, 2023, to January 25, 2024; Sigma […]

Investors might have sustained losses due to securities broker Matt Abeywardena Ward [CRD: 2075525, Santa Monica, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ward joined A.G.P. / Alliance Global Partners on April 4, 2012. Continue reading to learn more about Matt Ward’s regulatory issues and the implications for investors. […]