Investors potentially experienced sales practice violations by securities broker Austin J. Masel [CRD: 7373817, Boston, Massachusetts], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Masel worked for Morgan Stanley from November 1, 2021, to the present as a securities broker and from February 28, 2022, to the present as a financial advisor. […]

Investors have reportedly disputed the sales practices of securities broker William Courtwright (also known as Bill Courtwright) [CRD: 2619811, Paramus, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Courtwright worked for Ameriprise Financial Services LLC in Paramus, New Jersey, since June 26, 1995, and as a financial advisor with the firm […]

Investors might have suffered losses due to securities broker Paula K. Petersen (also known as Paula Schamberger) [CRD: 7078487, Aspen, Colorado], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Petersen worked for NYLIFE Securities LLC from April 2, 2019, to June 20, 2024, and Hornor, Townsend Kent LLC from June 17, 2024, […]

Investors potentially incurred losses because of securities broker Garett I. Engel [CRD: 7708570, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Engel worked for Morgan Stanley from April 28, 2023, to the present as a securities broker and from May 25, 2023, to the present as […]

Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]

Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]

Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]

LPL terminated the registration of securities broker Rudy Anguiano [CRD: 5188950, Red Bank, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anguiano worked for LPL Financial LLC in Brea, California, from April 4, 2022, to December 18, 2025, before becoming registered with Alexander Capital LP and Alexander Capital Wealth Management […]

Investors potentially incurred losses because of securities broker Osvaldo Delgado Jr. (also known as Ozzie Delgado) [CRD: 5709747, Williston, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delgado worked for Kovack Securities Inc. from March 9, 2012, to the present and Kovack Advisors Inc. from March 23, 2012, to the present. Read […]