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 […]

Investors reportedly may have incurred losses because of securities broker Timothy Lee Connor [CRD: 2222028, Redwood City, California], according to disclosures on FINRA BrokerCheck. It appears that Timothy Connor has been registered with LPL Financial LLC since June 14, 2021. Prior to this, he worked with Cetera Investment Advisers LLC from November 12, 2020, to […]

Investors potentially experienced losses due to securities broker Surya Joshua Kane Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Metzler worked for Capital Growth Resources from 2007 to 2008 and has since been employed by Centaurus Financial Inc. in Newport Beach, California since November 1, 2011, and by Newport Wealth […]

Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]

Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

Investors potentially experienced losses due to securities broker Rodney Lee Boelter (also known as Rod Boelter) [CRD: 3199789, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. It appears that Boelter worked for MML Investors Services LLC from March 25, 2017, to August 2, 2021. He is currently registered with Osaic Wealth Inc., located in Scottsdale, […]

Investors might have sustained losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. Apparently, Rodney Potratz worked for FSC Securities Corporation from October 7, 2003 to November 3, 2023, before registering with Osaic Wealth Inc. on November 3, 2023. Keep reading to learn more about the […]

Investors might have sustained losses due to securities broker Rita Mansour [CRD: 1968418, Toledo, Ohio], according to disclosures on FINRA BrokerCheck. It appears that Rita Mansour has been registered with McDonald Partners LLC since September 15, 2006, both as a broker and as an investment adviser. Keep reading to learn more about the disclosures involving […]