Dain Farrell Stokes is a previously registered broker and investment advisor who worked for four different firms before being barred by both FINRA and the SEC. According to FINRA’S BrokerCheck,…

Financial Industry Regulatory Authority’s (FINRA) BrokerCheck reports that Michael…

Marcus E. Boggs is a previously registered broker and investment advisor who worked for Merrill Lynch for 12 years before being discharged after allegations in 2018. Mr. Boggs has 13 different…

James Michael Amour is a FINRA regulated broker and an investment advisor with 41 years of experience spanning eight firms. Mr. Amour has three disclosures against him according to his BrokerCheck…

Clifford Paul Huffman and Peter Huffman are FINRA registered brokers with over 50 years of experience between them. Both Clifford and Peter are currently registered with Merrill Lynch, Pierce,…

Brokers Thomas Joseph Logue, Bradley Carl Mascho, Clifford Ronald Reid, and John Joseph Koorey are the subject of numerous client complaints involving their mishandling of customer portfolios.…

Former customers of Jeremy Seth Rosen have accused the previously registered broker and investment adviser of making unsuitable investments, according to Financial…

Financial Industry Regulatory Authority’s (FINRA) BrokerCheck reports that FINRA has…

From the beginning of 2020 to mid-March 2021, the following Tortoise Energy Funds have suffered substantial losses, ranging from nearly 50% to as much as 75%.

1. Tortoise Energy…

Registered broker and investment adviser Ronald Franklin Metcalf Jr. has been the subject of five customer disputes related to his work for Voya Financial Advisors, according to…