Investors potentially experienced sales practice violations by securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Keep reading to find out more about the disclosures involving Cohen. […]

Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]

Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]

Investors apparently complained about securities broker Anthony Sica [CRD: 1332626, New York, New York], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Sica worked for Joseph Gunnar Co. LLC from October 31, 2003, to June 21, 2024. Read on to discover more about disclosures involving Sica, including regulatory actions and client […]

Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

FINRA sanctioned securities broker David George Joyce [CRD: 2665998, Naples, Florida], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Joyce worked for Carnes Capital Corporation from September 27, 2011, to May 24, 2024, where he served in supervisory and operational capacities, including as Chief Operating Officer until January 2024. […]

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 […]