Investors reportedly may have incurred losses due to securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. It appears that Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022. He is currently registered with Osaic Wealth Inc. since June 14, 2024, and […]

You May Have a Claim A financial advisor’s failure to properly structure the exchange of a nonqualified annuity can lead to costly tax consequences. One of the most common and avoidable errors occurs when a broker neglects to utilize a Section 1035 exchange, a provision in the U.S. tax code that allows for tax-deferred transfers […]

Investors potentially experienced losses due to securities broker William Lee Campbell [CRD: 1180015, White Plains, New York], according to disclosures on FINRA BrokerCheck. It appears that William Campbell worked for David Lerner Associates Inc. from October 14, 2002, to May 18, 2023. Keep reading to learn more about the client complaints and regulatory filings involving […]

CRD Individual Name   A 5429958 BARBARA JEAN ABADI 5251101 YOUSEF ABBASI 1879052 JOSEPH ABBONDANTE 5239825 JOANNA ABDELHADI 307 EMMETT MAURICE ABERCROMBIE 1610607 ANDREW MARTIN ABERN 4162073 JOSH RAY ABERNATHY 2987570 EUGENE GILBERT ABEYTA, JR 4311057 ANTHONY RICHARD ABNER 2733649 MAURICE WAYNE ABNEY 3273075 AMR MOSTAFA ABOULMAGD 6140331 CRYSTAL DAWN ABRAHAM 4412506 SEYMOUR ISAAC ABRAMOWITZ […]

Investors apparently complained about securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto and Vinny Pallitto) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, Vincent Pallitto has been registered with LPL Financial LLC since December 1, 2000, in a broker capacity and since May 31, 2002, as an […]

Investors reportedly may have incurred losses because of securities broker Timothy Lee Connor [CRD: 2222028, Redwood City, California], according to disclosures on FINRA BrokerCheck. It appears that Timothy Connor has been registered with LPL Financial LLC since June 14, 2021. Prior to this, he worked with Cetera Investment Advisers LLC from November 12, 2020, to […]

Investors potentially experienced losses due to securities broker Surya Joshua Kane Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Metzler worked for Capital Growth Resources from 2007 to 2008 and has since been employed by Centaurus Financial Inc. in Newport Beach, California since November 1, 2011, and by Newport Wealth […]

Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]

FINRA has expelled securities broker Stephen Philip King [CRD: 1590508, Eatontown, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, King worked for Cantone Research Inc. from November 17, 2014, to September 5, 2023. Keep reading to learn more about King’s regulatory issues. King Barred By Cantone Over Testimony Refusal According to a regulatory action […]