One or more investors apparently complained about securities broker Dwight Kristopher Kay [CRD: 5376903, Torrance, California], based on disclosures on FINRA BrokerCheck. Evidently, Dwight Kay worked for FNEX Capital LLC starting January 21, 2022, and previously was registered with Growth Capital Services Inc. from July 23, 2020, to January 14, 2022, and with WealthForge Securities […]

Investors potentially experienced sales practice violations because of securities broker Dennis Michael Azary [CRD: 2384263, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dennis Azary worked for Growth Capital Services Inc. from May 4, 2012, to February 8, 2022. He has since held registrations with Finalis Securities LLC in Daly […]

One or more investors apparently complained about securities broker Christopher William Campbell (also known as Chris Campbell and Christopher W. Campbell) [CRD: 5597534, Buffalo, New York], based on disclosures through FINRA’s BrokerCheck. Evidently, Campbell has been registered with Raymond James Financial Services Inc. since November 6, 2017, and with Raymond James Financial Services Advisors Inc. […]

Investors potentially experienced sales practice violations due to securities broker Anthony Mampieri (also known as Anthony Ralph Mampieri or Tony Mampieri) [CRD: 1653703, Dublin, Ohio], according to publicly available information on FINRA BrokerCheck. Evidently, Mampieri worked for Morgan Stanley from August 20, 2010, to October 24, 2023. Since then, he has been registered with Wells […]

RAYMOND WYMAN CHOW (RAYMOND W CHOW) is currently registered as a broker and as an investment advisor with WEDBUSH SECURITIES INC. of Elk Grove, California since 3/20/2008. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAYMOND W CHOW has been in the securities industry for 27 years and has been listed with […]

DANNY KAY DAVIS (DANNY K DAVIS, DAN DAVIS) is currently registered as a broker since 3/5/2009 and as an investment advisor since 3/27/2009, with STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Omaha, Nebraska. According to FINRA’s BrokerCheck, available to the public on FINRA's website, DANNY K DAVIS has been in the securities industry for 46 […]

Investors potentially experienced sales practice violations due to securities broker Yi Guo [CRD: 6246079, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yi Guo has been a registered broker with Univest Securities LLC in New York, New York, since April 21, 2016. Keep reading to find out more […]

One or more investors apparently complained about securities broker Ronald Stephen Thompson (also known as Ronald Thompson, Ronald Thompson II, Ronald Thompson Jr, and Ronnie S. Thompson) [CRD: 4243976, Okemos, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thompson worked for NYLIFE Securities LLC from 2011 to 2017. Keep reading to […]

Investors potentially experienced sales practice violations because of securities broker Amy Ann Brandts (also known as Amy A. Brandts, Amy Brandts, Amy Ann Ferezan) [CRD: 1228497, Herndon, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Brandts has worked for Cambridge Investment Research Inc. since February 12, 2003, and for Cambridge Investment Research Advisors […]