Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]

Investors potentially experienced sales practice violations by securities broker Gerald Best Hanifan Jr. (also known as Jerry Hanifan) [CRD: 2286666, West Jefferson, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hanifan worked for USA Financial Securities LLC beginning April 24, 2006, and USA Financial Securities Corporation beginning March 27, 2007. Investors […]

Investors have reportedly disputed the sales practices of securities broker David Theodore Bulow [CRD: 5834367, Milpitas, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Bulow worked for NI Advisors from May 19, 2015, to May 22, 2024. Investors can see below to learn more about the disclosures involving this […]

Investors might have sustained losses due to securities broker Michael Anthony Tannery [CRD: 1538345, Richardson, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Tannery worked for Independent Financial Group LLC as a broker beginning May 31, 2013, and as an investment adviser beginning June 12, 2013. Investors should keep reading to […]

Investors potentially incurred losses because of securities broker Eugene Lee Webb (also known as Gene Webb) [CRD: 1851855, Portland, Oregon], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb has worked for Paulson Investment Company LLC from June 3, 2016, to present. Keep reading to discover more about the disclosures involving […]

Investors apparently complained about securities broker John Peter Purcell [CRD: 1664678, Albany, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Purcell has been registered with Purshe Kaplan Sterling Investments since April 15, 1994. Investors should continue reviewing this article to discover more about the disclosures involving this individual. Purshe Kaplan […]

Investors have reportedly disputed the sales practices of securities broker Marco Bartolo Azizi (also known as Moe Azizi) [CRD: 2154719, San Jose, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Azizi has worked for Centaurus Financial Inc. since July 20, 2016, where he has been registered as both a broker and […]

Investors potentially experienced sales practice violations by securities broker Steve Howard Orr (also known as Steven Orr) [CRD: 1583467, Victoria, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Orr worked for Grove Point Investments LLC from April 25, 2011, to May 1, 2025, and Grove Point Advisors LLC from April […]