Broker Blog

Terry Carey (CRD #: 1480148), a broker registered with MML Investors Services, has incurred a civil lien, according to his BrokerCheck record, accessed on May […]

CarlaAnn Goedtke (CRD #: 2802912), a broker registered with Cambridge Investment Research, allegedly recommended an unsuitable investment, according to her BrokerCheck record, accessed on May […]

Yvonne Redmond (CRD #: 808830), a broker registered with Equitable Advisors, was involved in an investor dispute, according to her BrokerCheck record, accessed on May […]

Mimi Yoo Park (CRD #: 4684111), a broker registered with U.S. Bancorp Investments, is the subject of a pending dispute, according to her BrokerCheck record, […]

Martin Barth (CRD #: 1030462), a broker formerly registered with Ni Advisors, has been suspended by FINRA, according to his BrokerCheck record, accessed on May […]

Larissa Poindexter (CRD #: 1298572), a broker registered with USCA Securities, resigned from her previous firm, according to her BrokerCheck record, accessed on April 30, […]

Elizabeth Dickerson (CRD #: 1917497), a broker registered with United First Partners, has been suspended by FINRA, according to her BrokerCheck record, accessed on April […]

Jody Vander Weide (CRD #: 2571083), a broker formerly registered with Osaic Wealth, has been fired from that firm, according to his BrokerCheck record, accessed […]

Caner Otar (CRD #: 5628513), also known as John Otar, a broker formerly registered with Worden Capital Management, has been named in an SEC complaint, […]

Amy Brandts (CRD #: 1228497), a broker registered with Cambridge Investment Research, has been the subject of two investor disputes, according to her BrokerCheck record, […]