General

Rachel Lauber (CRD #: 3027895), a broker registered with Securities America, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on […]

Maria Johnson (CRD #: 2495165), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to act in clients’ best interests, according to […]

Michael Wcislo (CRD #: 6655400), a broker formerly registered with Morgan Stanley & Company, was fired from the firm, according to his BrokerCheck record, accessed […]

John Clemens (CRD #: 860935), a broker registered with RBC Capital Markets, resigned from his previous firm, according to his BrokerCheck record, accessed on October […]

Jean Paradis (CRD #: 2167253), a broker registered with LPL Financial, allegedly misrepresented a variable annuity, according to his BrokerCheck record, accessed on October 14, […]

Shawn Bumgardner (CRD #: 2492380), a broker registered with Ameriprise Financial Services, allegedly misrepresented an investment product, according to his BrokerCheck record, accessed on August […]

Marc Jacobson (CRD #: 1908557), a broker registered with Aegis Capital, allegedly misrepresented a variable annuity, according to his BrokerCheck record, accessed on August 7, […]

Xinxin Lu (CRD #: 6270026), a broker formerly registered with Transamerica Financial Advisors, allegedly overconcentrated clients’ accounts, according to her BrokerCheck record, accessed on August […]

James Parascandola (CRD #: 2866028), a broker registered with Pruco Securities, allegedly engaged in excessive trading, according to his BrokerCheck record, accessed on July 23, […]

Kerry Cassell (CRD #: 2069521), a broker registered with Wells Fargo Clearing Services, was involved in a recent dispute, according to his BrokerCheck record, accessed […]