Investors potentially incurred losses because of securities broker Mark Robert Brosa [CRD: 5481188, Lawrence, Kansas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Brosa worked for Ameriprise Financial Services LLC from April 17, 2020, to March 22, 2024. Keep reading to learn more about the disclosures involving Mark Brosa. FINRA Sanctioned […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Lyhen Fiallo (also known as Lyhen Hernandez) [CRD: 4579582, Hialeah, Florida], based on public information located on FINRA BrokerCheck. Lyhen Fiallo worked for PFS Investments Inc. from April 24, 2020, to December 31, 2024. Investors are encouraged to continue reading to find out more about this broker’s […]

FINRA barred securities broker Anthony Tianfeng Cheng (also known as Tony Cheng) [CRD: 6242405, San Jose, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Cheng worked for Ameritas Investment Company LLC from April 2, 2015, to May 22, 2025. Keep reading to discover more about the regulatory disclosure involving […]

FINRA barred securities broker Bertram Brasher Unger (also known as Bill Unger) [CRD: 2334575, Jupiter, Florida], and investors complained about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Unger worked for Edward Jones from April 22, 2019, to June 29, 2022. Investors are encouraged to continue reading to find out […]

FINRA barred securities broker Derek Lee Copeland [CRD: 4347572, Charlotte, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Copeland worked for LPL Financial LLC from March 5, 2020, to January 30, 2023, where he was registered as a securities broker and investment adviser representative. Investors should continue reviewing the information below […]

SEC barred securities broker James Dale Warring [CRD: 3198200, Rockville, Maryland], and investors complaint about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Warring worked for Emerson Equity LLC from June 9, 2023, to August 1, 2025; DAI Securities LLC from November 23, 2020, to May 15, 2023; and […]

Investors apparently complained about securities broker Richard Lloyd Carman [CRD: 2002971, Memphis, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carman worked for LPL Financial LLC from January 3, 2002, to August 4, 2021, and later for Ameriprise Financial Services LLC from July 23, 2021, to April 12, 2022. Investors […]

FINRA barred securities broker Joseph Edward O’Shea Jr. (also known as Joseph Edward Oshea Jr.) [CRD: 2805483, New York, New York], and investors complaint about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. O’Shea worked for National Securities Corporation from July 21, 2009, to July 21, 2022, Arete Wealth Management […]

FINRA barred securities broker Raymond William Clark [CRD: 2865619, Red Bank, New Jersey], and one or more investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clark worked for Garden State Securities Inc. from November 8, 2019, to March 24, 2021, Monmouth Capital Management LLC from March 23, 2021, […]