Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]

Investors apparently complained about securities broker Anthony Sica [CRD: 1332626, New York, New York], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Sica worked for Joseph Gunnar Co. LLC from October 31, 2003, to June 21, 2024. Read on to discover more about disclosures involving Sica, including regulatory actions and client […]

CHRISTIAN YAVIER GOMEZ (CHRISTIAN Y GOMEZ, CHRISTIAN GOMEZ) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 12/15/2025.  Gomez was previously registered with BROOKLIGHT PLACE SECURITIES LLC of Fountain Hills, Arizona, from 08/29/2023 - 05/20/2025.  CHRISTIAN Y GOMEZ was registered with NYLIFE […]

KEITH MICHAEL DAGOSTINO (KEITH M DAGOSTINO, KEITH DAGOSTINO) was fined $25,000.00 and suspended for 24 months with a start date of 1/5/2026, and an end date of 1/4/2028. Dagostino was with AEGIS CAPITAL CORP of Melville, New York from 10/03/2014 - 11/29/2023, and was last registered with EF HUTTON LLC of Woodbury, New York from […]

Investors have reportedly disputed the sales practices of securities broker John Dennis Lowry [CRD: 4336146, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lowry has been registered with Spartan Capital Securities LLC since July 10, 2008. See the following information to learn more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

Investors potentially incurred losses because of securities broker Stephen Glover Parks [CRD: 5074732, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Parks worked for Skystone Securities LLC from June 12, 2020, to December 24, 2025. See below to discover more about the disclosures involving Stephen Parks. FINRA Sanctioned Parks For […]

FINRA sanctioned securities broker David George Joyce [CRD: 2665998, Naples, Florida], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Joyce worked for Carnes Capital Corporation from September 27, 2011, to May 24, 2024, where he served in supervisory and operational capacities, including as Chief Operating Officer until January 2024. […]