Investors have reportedly disputed the sales practices of securities broker Robert Kent Hiss [CRD: 1599380, Wichita, Kansas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hiss has been registered with IFP Securities LLC since May 23, 2019, and has also worked as an investment adviser with Independent Financial Partners since November […]

Investors potentially incurred losses because of securities broker Robert Lewis Moon [CRD: 2431875, Bethesda, Maryland], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Moon worked for Merrill Lynch from August 29, 2008, to November 6, 2023, and later registered with Rockefeller Financial LLC and Rockefeller Capital Management beginning November 3, 2023. […]

Investors potentially experienced sales practice violations by securities broker Thomas Mazzara (also known as Tom Mazzara) [CRD: 1294121, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Mazzara worked for Alliance Global Partners from October 24, 2022, to the present, and previously worked for Royal Alliance Associates Inc. from […]

Investors apparently complained about securities broker Derek Michael Johnson [CRD: 2922680, Brea, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Johnson worked for J.P. Morgan Securities LLC from January 20, 2012, to June 11, 2020, and has been registered with Morgan Stanley since June 5, 2020. Investors should continue […]

Investors might have sustained losses due to securities broker Peter Lee Waldron [CRD: 4230510, Irvine, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Waldron worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors beginning March 29, 2022, and previously worked for UBS Financial Services Inc. from October 27, […]

Investors potentially incurred losses because of securities broker Nouachi Vang [CRD: 5090132, Maple Grove, Minnesota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nouachi Vang has worked for LPL Financial LLC since August 8, 2024, and previously worked for Kestra Advisory Services LLC and Kestra Investment Services LLC from March 8, 2022, to […]

Investors potentially experienced sales practice violations by securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Micera worked for RBC Capital Markets LLC beginning on March 9, 2002, as a broker and since April 29, 2002, as an investment adviser. Investors […]

Investors have reportedly disputed the sales practices of securities broker Debra L. Biosca (also known as Debra Rathje) [CRD: 4584010, Arlington Heights, Illinois], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biosca worked for Arkadios Capital from September 4, 2019, to August 18, 2025, and previously worked for Triad Advisors LLC from […]

Investors apparently complained about securities broker Phillip Wayne Jones [CRD: 2445213, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for Merrill Lynch beginning on February 1, 1994, as a broker, and has also been registered with the firm as an investment adviser since February 23, 1994. Investors should continue […]