Lawrence Earle Emmons IV (CRD: 1060109), a securities broker in Hinsdale, Illinois, is the subject of a client complaint alleging possible investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Woodbury Financial Services Inc. from May 1, 2006, to January 19, 2024, and has been registered with Osaic Wealth Inc. […]

Rachel-Marie Graham (CRD: 7508325), a securities broker based in Bonham, Texas, disclosed a client complaint involving possible investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Graham worked with State Farm VP Management Corp. since April 16, 2025, and with State Farm Investment Management Corp. since March 10, 2026. Here's what the clients […]

Florence Benjamin Isaac (CRD: 6289898), a securities broker based in Chicago, Illinois, faced a client complaint involving alleged losses tied to a life insurance recommendation, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Isaac worked for Merrill Lynch from March 20, 2023, to April 10, 2023; Pruco Securities and Prudential Financial Planning Services […]

Ethan Michael Elmore (CRD: 7263040), a securities broker based in San Francisco, California, disclosed a pending client complaint involving allegations of financial harm, according to the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Elmore has worked for Equitable Advisors LLC as a broker since September 28, 2020, and as a financial advisor since November 6, […]

Woodbury Financial Clients Allege Sales Practice Violations By Broker Peter David The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding securities broker Peter Werner David (CRD#: 1133608, Waukesha, Wisconsin). Namely, David, who worked for Woodbury Financial Services from February 2009 to July 2018, is involved in two client disputes. Notably, investors allege sales […]

NYLife Securities Client Files Dispute Involving Securities Broker Andre Senegal Evidently, FINRA BrokerCheck contains new information in regard to securities broker Andre Pierre Senegal (CRD#: 6065655, Oakbrook Terrace, Illinois). Namely, two investor disputes involve Senegal – the most recent of which is from November 2020. Also, OneAmerica Securities (his employer in 2020) permitted him to […]

NYLife Investors Complain About Broker Sudesh Jain Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports that seven investor disputes are on the BrokerCheck record of securities broker Sudesh Kumar Jain (CRD#: 1325905, Dayton, Ohio). Evidently, Jain worked for NYLife Securities until 2016 and joined MML Investors Services in August 2017. Notably, investors indicate in […]

Alan J. Becker (CRD #4870553, Bedford, New Hampshire) was assessed a deferred fine of $46,045, including the disgorgement of commissions received for $36,045, and was suspended by FINRA for 18 months for allegedly making unsuitable recommendations to six clients in the sales of variable universal life policies (VULs) based on their financial situations. FINRA's findings […]

Andrew Martin Abern (CRD #1610607, Registered Principal, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, Abern consented to the described sanctions and to the entry of findings that he provided some customers with VA expense disclosure forms that contained inaccurate information; the forms understated the annual expenses that would be […]