Investors might have sustained losses because of securities broker Bryce J. Jones [CRD: 6361728, Washington, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jones worked for Independent Financial Group LLC beginning on October 13, 2022, and previously worked for Merrill Lynch Pierce Fenner Smith Incorporated from August 19, […]

Investors potentially experienced sales practice violations by securities broker Shannon Marie Powers (also known as Shannon Marie Catuogno and Shannon Powers-Solomon) [CRD: 2367198, Ridgefield, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Powers has worked with multiple firms, including Innovation Partners LLC and IP Financial Advisory Services LLC since […]

Investors apparently complained about securities broker Robert Macaluso [CRD: 1348161, Boca Raton, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Macaluso worked for Stifel Nicolaus Company Incorporated from April 30, 2010, to July 10, 2024. Keep reading to discover more about Macaluso’s disclosures. Stifel Investor Accused Macaluso […]

Investors potentially incurred losses because of securities broker Jason Christopher Cook [CRD: 4349388, Graham, North Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cook worked for Berthel Fisher Company Financial Services Inc. beginning January 3, 2006, BFC Planning Inc. beginning November 7, 2018, and Berthel Fisher Company Financial […]

Investors have reportedly disputed the sales practices of securities broker Glenn J. Romer [CRD: 4841915, Vero Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Romer worked for Center Street Securities Inc. from April 7, 2010, to November 14, 2023. Read on to find out more about Romer’s disclosures. […]

Investors potentially experienced sales practice violations by securities broker James Claude Britt (also known as J.C. Britt) [CRD: 4523267, Vero Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Britt has been registered with Morgan Stanley as a broker since September 8, 2010, and as an investment adviser […]

Investors apparently complained about securities broker John Michael Clark [CRD: 6596483, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Clark worked for LPL Enterprise LLC from November 14, 2024, to February 3, 2025, and for Pruco Securities LLC from February 18, 2016, to November 14, 2024. Keep reading […]

Investors potentially incurred losses because of securities broker Jonathan Hilton Malinger [CRD: 5201626, Pasadena, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Malinger has been registered with Wedbush Securities Inc. since February 18, 2022. Read below to learn more about Malinger’s disclosures and what they might mean for affected […]

Investors have reportedly disputed the sales practices of securities broker Robert Allen Moore Jr. [CRD: 2051333, Marlton, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Moore worked for J. Alden Associates Inc. from July 6, 2022, and previously for Purshe Kaplan Sterling Investments from October 10, 2016, […]