Sean Warren (CRD #: 5749009), a broker registered with J.P. Morgan Securities LLC, is the subject of customer disputes alleging unsuitable investment recommendations and misrepresentation. […]
Shawn Danziger (CRD #: 2238465) is a registered representative with Cambridge Investment Research who allegedly failed to clearly disclose fees. This disclosure appears on his […]
Scott Hagenbach (CRD #: 4623725) is a financial advisor registered with Ameriprise Financial Services, LLC, who is the subject of a customer complaint related to […]
Stephen Hlibok (CRD #: 1728900), a broker registered with Merrill Lynch, is the subject of investor disputes. This disclosure appears on his BrokerCheck record, accessed […]
Sarah Alexander (CRD #: 7669547), a registered broker and investment adviser representative with Fidelity, allegedly took and shared photos that contained confidential client information with […]
Brian Moran Allegedly Misreported Net Capital
Dec 31, 2025
General
Brian Moran (CRD #: 1940341), a broker registered with Fundamental Interactions Neutron Direct, was suspended for three months. This disclosure appears on his BrokerCheck record, […]
Christian Odish (CRD #: 7935118), a broker registered with JP Morgan Securities, is the subject of an investigation. This disclosure appears on his BrokerCheck record, […]
Vanessa Sopke (CRD #: 4967464), a formerly registered broker with Cetera Investment Services, is the subject of an investor dispute. This disclosure appears on her […]
Diana Leon (CRD #: 4857407), a broker registered with Osaic Wealth, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, […]
James Kolbusz (CRD #: 3243023) has been fired by Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on December […]