Michael Tannery (CRD #: 1538345), a broker registered with Independent Financial Group, allegedly failed to fully disclose risks to a client, according to his BrokerCheck […]
Steven Heck (CRD #: 5304793), a broker registered with Equitable Advisors, allegedly recommended an unsuitable investment, according to his BrokerCheck record, accessed on March 7, […]
Melissa Cox (CRD #: 4902428), a broker registered with Van Clemens & Company, was fired from her previous firm, according to her BrokerCheck record, accessed […]
Michael Heck (CRD #: 1047484), a broker formerly registered with Equitable Advisors, allegedly made misrepresentations, according to his BrokerCheck record, accessed on March 5, 2025. […]
William Revoir (CRD #: 873583), a broker formerly registered with CoreCap Investments, is involved in an investor dispute, according to his BrokerCheck record, accessed on […]
Michael Lickiss (CRD #: 5135936), a broker formerly registered with Purshe Kaplan Sterling Investments, is involved in several investor disputes, according to his BrokerCheck record, […]
Timothy Whitehurst (CRD #: 4966230), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, was fired from that firm, according to his BrokerCheck […]
Mark Creason Allegedly Gave Unsuitable Investment Recommendations
Mar 20, 2025
Unsuitable Investments
Mark Creason (CRD #: 6617847), a broker registered with Metric Financial, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on March 5, 2025. […]
FINRA Suspends Steven Blanchard
Mar 20, 2025
FINRA Suspension
Steven Blanchard (CRD #: 6042470), a broker formerly registered with LPL Financial, is currently subject to two FINRA suspensions, according to his BrokerCheck record, accessed […]
Karen Briggs (CRD #: 1100275), a broker formerly registered with LPL Financial, allegedly recommended unsuitable investments, according to her BrokerCheck record, accessed on March 5, […]