Investors have reportedly disputed the sales practices of securities broker William Andrew Grundig [CRD: 2589507, Freehold, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grundig worked for Commonwealth Financial Network from September 30, 2016, to July 31, 2025, before registering with Kestra Investment Services LLC and […]

Investors might have sustained losses because of securities broker Duncan Gerard MacEachern [CRD: 1856591, Rochester, Michigan], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that MacEachern worked for LPL Financial LLC beginning on March 12, 2021, and previously worked for Centaurus Financial Inc. from May 14, 2004, to March 12, […]

Investors potentially experienced sales practice violations by securities broker Anna-Marie Ocampo Lovell (also known as Anna-Marie Ocampo Agana) [CRD: 5498414, La Jolla, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lovell worked for Infinity Financial Services from March 22, 2019, and for Infinity Financial Services Advisory from April 27, […]

Investors apparently complained about securities broker Janet Franco Gordon [CRD: 1114409, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Franco Gordon worked for Raymond James Associates Inc. beginning October 16, 2023, and for Morgan Stanley from June 1, 2009, to October 18, 2023. Keep reading […]

Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]

Investors might have sustained losses because of securities broker Jason Douglas Stone [CRD: 5455271, Orange, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Stone worked for Arkadios Capital beginning March 7, 2024, and for Secura Financial beginning September 30, 2013; he previously worked for Crown Capital Securities […]

Investors potentially experienced sales practice violations by securities broker William David Morrison (also known as Bill Morrison) [CRD: 1556786, Oakbrook Terrace, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Morrison has worked for B. Riley Wealth Management since July 22, 2022, and B. Riley Wealth Advisors Inc. since […]

Investors apparently complained about securities broker George Mauae Purdy [CRD: 5865750, Kailua Kona, Hawaii], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Purdy worked for Cetera Wealth Services LLC beginning on January 13, 2025, and for Cetera Investment Advisers LLC beginning on January 24, 2025, following prior registrations with firms […]

Investors potentially incurred losses because of securities broker Neal Edward Hayias [CRD: 854703, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hayias has worked for Equitable Advisors LLC since June 1, 2005, in a broker capacity and since August 29, 2008, as an investment adviser […]