Investors potentially experienced sales practice violations because of securities broker Scott Erik Aabel (also known as Scott Eric Aabel) [CRD: 1493667, Osprey, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Aabel worked for Spire Securities LLC from December 6, 2016, to April 14, 2025, and for Investors Capital Corp. from January 7, 2016, to August […]

FINRA barred securities broker Michael Patrick Raineri [CRD: 4817558, Seattle, Washington], and an investor complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Raineri worked for Securities America Inc. from November 6, 2020, to April 18, 2023. Read on to find out more about the disclosures involving Raineri. FINRA […]

Investors apparently complained about securities broker Jason Price Lamb [CRD: 3248356, Nashville, Tennessee], based on publicly available information on FINRA BrokerCheck. Evidently, Jason Lamb has been registered with Arete Wealth Management LLC since February 8, 2021, and previously worked for Center Street Securities Inc. in Soquel, California, from June 17, 2009, to December 1, 2023. […]

Investors have reportedly disputed the sales practices of securities broker Angelo Frank Anello [CRD: 2835091, Needham, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anello has been registered with LPL Financial LLC in Needham, Massachusetts, since May 29, 2009, and as an investment adviser with the same firm since June 19, […]

Investors possibly experienced sales practice violations because of securities broker Christopher Nelson Kirkland (also known as Chris Kirkland and Christopher Nel Kirkland) [CRD: 5602044, Atlanta, Georgia], based on public information on FINRA BrokerCheck. Evidently, Christopher Kirkland has worked for several investment firms, including Cetera Wealth Services LLC and Cetera Investment Advisers LLC since September 5, […]

Investors might have sustained losses due to securities broker Seth Andrew Nannini [CRD: 4406510, Boone, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nannini has been registered with Capital Investment Group Inc. since December 8, 2006, and previously served as a registered investment adviser. Read below for details […]

Investors apparently complained about securities broker Mark Elliot Zorn [CRD: 2056837, Addison, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Zorn worked for Kestra Investment Services LLC from January 9, 2007, to June 22, 2022, and later for Cetera Advisor Networks LLC from June 21, 2022, to August 8, 2024. Read on to find out […]

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 […]