Investors have reportedly disputed the sales practices of securities broker Peter Sandler [CRD: 2847717, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sandler worked for Dominari Securities LLC beginning on February 29, 2024, and previously worked for Aegis Capital Corp. from August 7, 2017, to […]

Investors might have sustained losses because of securities broker Alan Charles Lowenfels (also known as Charles Alan Lowenfels) [CRD: 4512765, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lowenfels has been registered with David Lerner Associates Inc. since May 2, 2002. Keep reading for details about […]

Investors potentially experienced sales practice violations by securities broker Jason James Nardella (also known as Jay Nardella) [CRD: 2931678, Naples, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Nardella has been registered with Ameriprise Financial Services LLC from October 8, 1997, to the present in his broker […]

Investors apparently complained about securities broker John Thomas Hardiman [CRD: 2089333, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hardiman has been registered with Janney Montgomery Scott LLC since August 30, 2017, working there as both a broker and investment adviser. Read below to discover more […]

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 […]