Investors apparently complained about securities broker Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the […]

One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]

Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about […]

Investors might have sustained losses because of securities broker Kasey Luv Davis (also known as Kasey Luv Hopps) [CRD: 2353615, Belton, Texas], according to publicly available information reported on FINRA BrokerCheck. Davis has worked with Centaurus Financial Inc. in Belton, Texas since April 26, 2013, as an investment adviser and since June 5, 2013, as […]

Investors might have sustained losses due to securities broker Mark Angelo Gassoso [CRD: 2590007, Jersey City, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Gassoso worked for National Securities Corporation from November 21, 2000, to July 22, 2022, B. Riley Wealth Management from July 22, 2022, to November 26, 2024, […]

One or more investors potentially experienced sales practice violations because of securities broker Samuel Starr (also known as Sam Starr) [CRD: 1893387, Hyannis, Massachusetts], based on publicly available information reported on FINRA BrokerCheck. Samuel Starr worked for UBS Financial Services Inc. from June 12, 2008, to January 11, 2019, and has worked with Wells Fargo […]

Investors may have incurred losses due to securities broker Francis Dewey Burke Jr. (also known as JR Burke) [CRD: 841681, Berwyn, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Burke has been employed with M Holdings Securities Inc. since September 17, 2001, as a broker and since November 24, 2004, as an […]

Investors supposedly complained about securities broker Francisco Javier Cabral [CRD: 5257195, Greenwich, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Francisco Cabral worked for David Lerner Associates Inc. in White Plains, New York, from January 5, 2007, to October 20, 2021, and has worked with Ameriprise Financial Services LLC in Greenwich, Connecticut, […]

Investors might have sustained losses because of securities broker Sean Patrick McGerr [CRD: 2676426, Lincoln, Nebraska], based on publicly available information reported on FINRA BrokerCheck. Sean McGerr worked for UBS Financial Services Inc. from February 20, 2009, to February 23, 2021, and works for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since February […]