Investors might have sustained losses because of securities broker Zachary Donovan Werner [CRD: 7207877, Cincinnati, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werner has been registered with UBS Financial Services Inc. in Cincinnati, Ohio, since April 21, 2022. See the following information to find out more about the pending […]

Investors apparently complained about securities broker Edward Eric Fernandez [CRD: 2956661, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Edward Fernandez has been registered with Capulent LLC since October 5, 2017. Read below to discover more about the disclosures involving this securities broker. Capulent LLC Investor Accused Fernandez Of Unsuitable Recommendations Particularly, on August […]

Investors have reportedly disputed the sales practices of securities broker Alexis Leon Aldaz (also known as Alex Aldaz) [CRD: 3058560, Bonita, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Aldaz worked for Edward Jones from February 28, 2020, to September 24, 2025. Read on for details about the disclosures […]

Investors potentially experienced sales practice violations due to securities broker Kirk Edward Klein [CRD: 2260326, Gainesville, Florida], according to public information on FINRA BrokerCheck. Evidently, Klein worked for Valmark Securities Inc. from January 13, 1999, to February 28, 2025. Keep reading to learn more about this securities broker’s disclosures. Understanding Breach Of Fiduciary Duty Allegations […]

Investors potentially incurred losses because of securities broker Guy Anthony Harrigan [CRD: 1817525, Boulder, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrigan worked for Lion Street Financial LLC from October 6, 2016, to September 18, 2023, and Triad Advisors Inc. from April 1, 2013, to October 7, 2016. See the […]

Investors have reportedly disputed the sales practices of securities broker Samuel David Frankfort [CRD: 2773755, Houston, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frankfort worked for Rockefeller Financial LLC from May 22, 2020, to February 15, 2024, and for Raymond James & Associates Inc. from September 6, 2016, to […]

Investors possibly experienced sales practice violations by securities broker Vincenzo Pietro Garganese (also known as Vincenzo Hart) [CRD: 6760844, Portland, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Garganese has been registered with MML Investors Services LLC since April 22, 2017, serving clients from the firm’s Portland and Falmouth, Maine offices. Keep reading to learn […]

Investors apparently complained about securities broker David Ta-Wai Yu [CRD: 5484970, Fort Lauderdale, Florida], according to public information on FINRA BrokerCheck. Evidently, David Yu has been registered with IFP Securities LLC and Independent Financial Partners in Fort Lauderdale, Florida since October 25, 2019. Previously, Yu worked for Kovack Advisors Inc. and Kovack Securities Inc. from […]

Investors have reportedly disputed the sales practices of securities broker Thomas Gary Justice [CRD: 2786145, San Mateo, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since November 19, 2020. Previously, he worked for Conover Capital Management in Bellevue, […]