John Halsey Buck III (CRD#: 34383) is a previously registered broker and financial advisor. Brokercheck indicates that Mr. Buck has 53 years of experience in[...]
Investment Loss Investigations
At Sonn Law Group, our securities fraud lawyers are currently investigating claims that Sheaff Brock Investment Advisors, LLC (CRD# 118739 / SEC# 801-60978) implemented unsuitable[...]
From 2011 to 2017, John-Aaron Lenhert (CRD#: 5989046) was employed as a broker and investment advisor at Morgan Stanley in Laguna Niguel, California. In January[...]
Wilfred Rodriguez Jr. (CRD#: 2504369) is a previously registered broker and investment advisor. From 2003 to 2018, Mr. Rodriguez Jr. was employed at Wells Fargo[...]
Kevin P. Smith (CRD#: 1363302) is a former broker and registered investment advisor (RIA). From 2009 to 2016, Mr. Smith was employed as a broker[...]
Edward Davig (CRD#: 841294) is an active FINRA broker. Since 2008, Mr. Davig has been employed at Packerland Brokerage Services in Holmen, Wisconsin. Prior to[...]
Arthur Coffey (CRD#: 2553466) is a registered investment broker. Since 2016, Mr. Coffey has been employed at First Standard Financial Company in Miller Place, New[...]
Dwight West (CRD#: 463778) is a registered broker. Since 2009, Mr. West has worked at UBS Financial Services in Carbondale, Colorado. Earlier this year, an[...]
George McCaffrey (CRD#: 847377) is a previously registered FINRA broker. From 1989 to 2017, Mr. McCaffrey was a representative of NTB Financial Corporation (CRD#:7425). During[...]
Thomas Logue (CRD#: 1700554) is a former registered broker and registered investment advisor (RIA). From 2014 to 2017, Mr. Logue was employed at American Independent[...]