FINRA sanctioned securities broker Nicholas Michael Armellino [CRD: 3189691, Jersey City, New Jersey], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Armellino worked for GMS Group from May 10, 2007, to May 23, 2025. See below to learn more about the disclosures involving this […]

FINRA sanctioned securities broker James Elroy Burton Jr. [CRD: 5051310, Bakersfield, California], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Burton worked for Farmers Financial Solutions LLC from July 27, 2007, to October 20, 2023. Read on to find out more about Burton’s disclosures […]

FINRA sanctioned securities broker George Ndifor Jing [CRD: 2835725, Rockville, Maryland], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jing worked for Transamerica Financial Advisors LLC from January 6, 2012, to August 11, 2025. Continue reading to learn more about the disclosures connected to Jing. FINRA Sanctioned Jing […]

FINRA sanctioned securities broker James Daniel Lang (also known as J. Dan Lang) [CRD: 2959057, Westlake Village, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lang has been registered with Independent Financial Group LLC since October 9, 2020, and previously worked for Ball Company from August 25, […]

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors […]

FINRA barred securities broker Anthony Richard Bottini III (also known as Rick Bottini) [CRD: 5567091, New York, New York], and investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Bottini worked for Merrill Lynch from July 22, 2011, to May 22, 2025. Investors should continue reading to find […]

Oklahoma Department of Securities and FINRA sanctioned securities broker David Jerry Love [CRD: 4788074, Oklahoma City, Oklahoma], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Love worked for LaSalle St. Securities LLC from September 2, 2021, to May 31, 2024, and previously for ICMA-RC Services LLC from […]

Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out […]

FINRA barred securities broker Jihoon L. Park [CRD: 6535514, Fairfax, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Jihoon Park worked for MML Investors Services LLC from April 9, 2016, to December 31, 2022. Read below for details about Jihoon Park’s regulatory and client dispute disclosures. FINRA Sanctioned Park For Failure To Comply […]