Investors might have sustained losses due to securities broker Jeffrey Patrick Hobert (also known as Jeffrey Hobert) [CRD: 6451659, Newport Beach, California], according to disclosures on FINRA BrokerCheck. It appears that Hobert has been registered with Centaurus Financial Inc. since February 19, 2015. Keep reading to learn more about Hobert’s client disputes and investment-related allegations. […]

Investors potentially experienced losses because of securities broker Jamie Theresa Nowakowski (also known as Jamie Ogren and Jamie Stella) [CRD: 4472043, Venice, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Nowakowski worked for Equitable Advisors LLC from February 11, 2020, to January 7, 2025, and for Coastal Equities Inc. from January 16, 2017, to February […]

Investors apparently complained about securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. It appears that Bush worked for LPL Financial LLC from August 4, 1995, to September 11, 2018, and has been registered with Capital Investment Group Inc. since August 31, 2018, […]

Investors potentially experienced losses due to securities broker Drew Matthew Peacock (also known as Matt Peacock) [CRD: 5834481, Pensacola, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Peacock worked for Ameriprise Financial Services LLC from October 8, 2019 to April 5, 2024. Keep reading to learn more about the disclosures involving Peacock, including alleged unauthorized […]

Investors reportedly may have incurred losses due to securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. It appears that Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022. He is currently registered with Osaic Wealth Inc. since June 14, 2024, and […]

You May Have a Claim A financial advisor’s failure to properly structure the exchange of a nonqualified annuity can lead to costly tax consequences. One of the most common and avoidable errors occurs when a broker neglects to utilize a Section 1035 exchange, a provision in the U.S. tax code that allows for tax-deferred transfers […]

Investors potentially experienced losses due to securities broker William Lee Campbell [CRD: 1180015, White Plains, New York], according to disclosures on FINRA BrokerCheck. It appears that William Campbell worked for David Lerner Associates Inc. from October 14, 2002, to May 18, 2023. Keep reading to learn more about the client complaints and regulatory filings involving […]

CRD Individual Name   A 5429958 BARBARA JEAN ABADI 5251101 YOUSEF ABBASI 1879052 JOSEPH ABBONDANTE 5239825 JOANNA ABDELHADI 307 EMMETT MAURICE ABERCROMBIE 1610607 ANDREW MARTIN ABERN 4162073 JOSH RAY ABERNATHY 2987570 EUGENE GILBERT ABEYTA, JR 4311057 ANTHONY RICHARD ABNER 2733649 MAURICE WAYNE ABNEY 3273075 AMR MOSTAFA ABOULMAGD 6140331 CRYSTAL DAWN ABRAHAM 4412506 SEYMOUR ISAAC ABRAMOWITZ […]

Investors apparently complained about securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto and Vinny Pallitto) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, Vincent Pallitto has been registered with LPL Financial LLC since December 1, 2000, in a broker capacity and since May 31, 2002, as an […]