Investors potentially experienced sales practice violations due to securities broker Vasilios Takos (also known as Bill Takos and Billy Takos) [CRD: 2500839, Garden City, New York], based on public information found on FINRA BrokerCheck. Evidently, Takos worked for Aegis Capital Corp. from September 1, 2017, to April 1, 2024, and joined Dominari Securities LLC on […]

Investors might have sustained losses through securities broker John Raymond Hebner (also known as Jack Hebner) [CRD: 3258824, Hayden, Idaho], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hebner worked for Moloney Securities Co. from July 2, 2003 to December 31, 2023. Keep reading to learn more about Hebner’s disclosures and the […]

Investors might have sustained losses due to securities broker Eugene Cebron Thompson IV (also known as Bron Thompson and EC Thompson IV) [CRD: 4350479, Dunn, North Carolina], according to public information found on FINRA BrokerCheck. Evidently, Thompson joined Capital Investment Group Inc. and Capital Investment Advisory Services LLC on February 13, 2014. Keep reading to […]

Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams. James Williams Disclosed Negligence, Breach […]

Investors potentially experienced sales practice violations because of securities broker Michael Frederick Ginestro (also known as Mike Ginestro) [CRD: 2468911, Los Angeles, California], according to public information on FINRA BrokerCheck. Ginestro joined Merrill Lynch on October 7, 2020, in Los Angeles, California. Before that, he worked for MML Investors Services LLC from February 3, 2020 […]

Investors reportedly complained about securities broker Matthew C. Haverty (also known as Matt Haverty) [CRD: 4618183, Leawood, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Haverty joined RBC Capital Markets LLC on February 8, 2019, operating from their office in Leawood, Kansas. Prior to that, he worked for Morgan Stanley from June 1, 2009 to […]

Investors might have sustained losses due to securities broker Anthony Steven Martinelli [CRD: 2590758, Berwyn, Pennsylvania], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Martinelli joined LPL Financial LLC on June 13, 2014, and Jacobi Capital Management LLC on June 13, 2014. Read on to know more about […]

One or more investors possibly experienced losses because of securities broker Douglas Albert Dulac (also known as Doug Dulac) [CRD: 1411702, Carmel, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Dulac has been registered with United Planners' Financial Services of America A Limited Partner from June 26, 2008 to the present. Below, you can find […]

Investors potentially experienced sales practice violations due to securities broker Joseph Richard Muller [CRD: 6092175, Manchester, Missouri], according to disclosures on FINRA BrokerCheck. It appears that Muller joined Moloney Securities Co. Inc. on February 8, 2013, and Moloney Securities Asset Management LLC on February 23, 2016. Keep reading to find out more about Joseph Muller’s […]