Investors have reportedly disputed the sales practices of securities broker Joseph Anthony Amato [CRD: 2751635, Red Bank, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Amato has been registered with Alexander Capital L.P. since January 2, 2013, and with Alexander Capital Wealth Management LLC since April 18, 2021. Keep […]

Investors potentially experienced sales practice violations because of securities broker Joe Carroll Doggett [CRD: 1033987, Columbus, Indiana], based on publicly available information on FINRA BrokerCheck. Evidently, Joe Doggett has been registered with Money Concepts Capital Corp since July 21, 2022, and Money Concepts Advisory Service since August 4, 2022. Previously, he worked with Grove Point […]

Investors potentially incurred losses due to securities broker Rodger Drik Thomas (also known as Rod Thomas and Thomas Rod) [CRD: 4010563, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas has been registered with Newbridge Securities Corporation since October 24, 2018, and with NFSG Corporation since October 30, […]

Investors apparently complained about securities broker Bruce Robert Beetz [CRD: 1527269, Hollister, California], based on disclosures on FINRA BrokerCheck. Evidently, Beetz has been registered with Emerson Equity LLC since November 4, 2019, and previously worked for Oak Tree Securities Inc. in Paicines, California, from April 2, 2001, to November 4, 2019. Read on to find […]

Investors potentially incurred losses because of securities broker Matthew Thomas Stratman [CRD: 5834026, Westlake Village, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stratman worked for Western International Securities Inc. from September 27, 2017, to December 31, 2023. Keep reading for details about Stratman’s disclosures. Western International Securities Investor […]

Investors have reportedly disputed the sales practices of securities broker Shalom Azar [CRD: 7125424, Hackensack, New Jersey], based on public information on FINRA BrokerCheck. Evidently, Shalom Azar has been registered with Wells Fargo Advisors Financial Network LLC since July 22, 2025, and previously worked for Morgan Stanley in Paramus, New Jersey, from July 22, 2021, […]

Investors potentially experienced sales practice violations by securities broker Alexander Fischman (also known as Sandy Fischman) [CRD: 5902109, Hackensack, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Alexander Fischman worked for Morgan Stanley from July 22, 2021, to August 20, 2025, and is currently registered with Wells Fargo […]

Investors apparently complained about securities broker Blake Edward Fellows [CRD: 4374810, Leesburg, Virginia], based on disclosures on FINRA BrokerCheck. Evidently, Fellows has been registered with Arkadios Capital since June 13, 2023, Wealthcare Capital Partners LLC since July 12, 2024, and Wealthcare Advisory Partners LLC since March 5, 2015. Previously, Fellows worked for Coastal Equities Inc. […]

The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]