Investors potentially experienced sales practice violations by securities broker Hector Crespo Jr. (also known as Harrison Crespo Jr.) [CRD: 3015246, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Crespo has worked for Aegis Capital Corp. in Melville, New York, since June 21, 2011, as a securities broker and since June […]

Investors apparently complained about securities broker Steven Douglas Goethel [CRD: 5861475, Jupiter, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goethel has been registered with Merrill Lynch as a securities broker since December 14, 2010, and as a financial advisor since February 23, 2011. See below to find out more about disclosures […]

Investors apparently complained about securities broker Alexander Paul Hykel (also known as Alex Hykel) [CRD: 6332285, Delray Beach, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hykel worked for Merrill Lynch from June 9, 2014, to April 18, 2023, and returned to the firm on November 12, 2024. He also previously […]

Investors potentially experienced sales practice violations by securities broker Michael John Wagner [CRD: 4465334, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Wagner worked for Morgan Stanley in Atlanta, Georgia, since March 16, 2012, as both a broker and investment adviser. Investors are encouraged to continue reading […]

Investors might have sustained losses due to securities broker James Eric Monken (also known as Jimmy Monken) [CRD: 5765921, Clayton, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monken worked for Morgan Stanley beginning September 11, 2012, and has remained registered with that firm since that time. Read on to […]

Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]

Investors potentially experienced sales practice violations by securities broker Scott Douglas Jones [CRD: 2196146, Cincinnati, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for UBS Financial Services Inc. from January 22, 2009, to January 20, 2026. Read on to discover more about this securities broker’s disclosures. UBS Financial Services Inc. […]

Investors potentially experienced sales practice violations by securities broker Jenna Lynn Spurrier (also known as Jenna Spurrier Stucker) [CRD: 4284511, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spurrier worked for Thurston Springer Miller Herd Titak Inc. from June 2, 2016, to the present, and Thurston Springer Advisors since August 25, […]

Investors might have sustained losses due to securities broker David Jon Nastri [CRD: 5178144, Cheshire, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nastri has worked for LPL Financial LLC as a registered broker since October 11, 2011, and he has been registered with LPL Financial LLC as a financial […]