Investors potentially experienced sales practice violations due to securities broker Sean P. Righter [CRD: 5419832, Irvine, California], according to disclosures on FINRA BrokerCheck. Righter worked for Morgan Stanley from June 1, 2009 to February 12, 2025. Read on to understand more about the disclosures involving this broker. Morgan Stanley Smith Barney Investor Accused Righter Of […]

Investors may have incurred losses due to securities broker Edward Alfred Baroncini Jr. [CRD: 3043354, Bradenton, Florida], based on publicly available information found on FINRA BrokerCheck. Edward Baroncini joined LPL Financial LLC on December 11, 2014, and Excel Wealth Management LLC on January 28, 2019. See the following information to find out more about the […]

One or more investors possibly experienced losses because of securities broker Terry Sloan Thompson (also known as T. Sloan Thompson) [CRD: 2588490, Savannah, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terry Thompson worked for Truist Investment Services Inc. from February 17, 2021 to March 21, 2024, and for BB&T Securities LLC […]

Investors may have incurred losses because of securities broker Donna Patrice Bromfield-Day [CRD: 5480459, Manor, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Donna Bromfield-Day has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since December 1, 2014, operating out of offices in Fort Worth, Texas, and Austin, Texas. […]

FINRA barred securities broker Jordan Paul Meadow [CRD: 6116538, New York, New York] and an investor disputed his sales practices, according to disclosures on FINRA BrokerCheck. Meadow previously worked for Spartan Capital Securities LLC from July 27, 2018, to June 28, 2023, and before that, for Newbridge Securities Corporation from March 27, 2017, to July […]

Investors might have sustained losses because of securities broker Leonard Neil Rich [CRD: 375427, Uniondale, New York], according to disclosures on FINRA BrokerCheck. It appears that Leonard Rich has been registered with Joseph Gunnar Co. LLC since February 24, 2003. Keep reading to learn more about the securities broker’s disclosures and what they might mean […]

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 […]