Investors apparently complained about securities broker Luke Cliff Schunk [CRD: 2387553, Tomahawk, Wisconsin], according to publicly available information reported on FINRA BrokerCheck. Schunk has worked with Moloney Securities Co. Inc. since March 16, 2012. See the following information to find out more Schunk’s disclosures involving client allegations. Schunk Disclosed Negligence Allegations By Moloney Securities Client […]

One or more investors might have sustained losses due to securities broker Zachary Duvall Anderson [CRD: 3247098, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zachary Anderson has worked with UBS Financial Services Inc. since February 9, 2007, where he serves both as a broker and investment adviser at the firm’s […]

PAUL XAVIER NANNICELLI (PAUL X NANNICELLI) was suspended for eight months and fined $5,000.00 by the Financial Industry Regulatory Authority (FINRA), according to FINRA’s BrokerCheck dated 6/30/2025. Nannicelli was with LPL FINANCIAL of Mont Vernon, New Hampshire, from 05/27/1993 - 08/28/2023.  According to FINRA’s BrokerCheck, PAUL X NANNICELLI has 40 years of experience in the […]

Investors may have incurred losses due to securities broker Marcial A. Vargas [CRD: 5953263, Redwood City, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcial Vargas worked for Wells Fargo Clearing Services LLC from August 15, 2014, to June 30, 2022, and has worked with Ameriprise Financial Services LLC in Redwood City […]

Investors potentially experienced sales practice violations due to securities broker Wilson Kwok [CRD: 5083791, South San Francisco, California], based on publicly available information reported on FINRA BrokerCheck. Wilson Kwok has worked with Wells Fargo Clearing Services LLC since January 3, 2011, and with Wells Fargo Advisors since August 9, 2013. Read on to find out […]

Investors supposedly complained about securities broker John Anthony Germain [CRD: 2706666, Norwell, Massachusetts], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Germain has worked with RBC Capital Markets LLC since April 17, 2009, operating out of their office on Washington Street in Norwell, Massachusetts. See the following information to understand more about Germain’s […]

In a litigation release from the Securities and Exchange Commission (SEC) dated June 27, 2025, it was announced that the SEC has filed settled charges against RAJESH MARKAN, formerly a registered representative and investment advisor with MERRILL LYNCH and HILLTOP SECURITIES, for allegedly soliciting his brokerage customers to invest in a fake private equity fund. […]

One or more investors might have sustained losses due to securities broker Michael Scott Buonanno [CRD: 2823332, East Northport, New York], according to publicly available information reported on FINRA BrokerCheck. Buonanno has worked with Cetera Wealth Services LLC since February 1, 2019, and previously worked for Cetera Advisor Networks LLC in El Segundo, California, from […]

Investors may have incurred losses due to securities broker Ramon Lynn Haile [CRD: 2010552, Hamilton, Texas], according to publicly available information reported on FINRA BrokerCheck. Haile has worked with Avantax Investment Services Inc. since December 18, 1989, and Avantax Advisory Services since November 16, 1990. Keep reading to understand more about the allegations reported about […]