Investors potentially incurred losses because of securities broker Sergio Kindler [CRD: 1690597, Jericho, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sergio Kindler has been registered with Osaic Wealth Inc. since February 24, 2022, and previously worked for LPL Financial LLC from February 14, 2018, through March 23, 2022. […]

Investors might have sustained losses due to securities broker Scott Francis Droskie [CRD: 2954696, St. Joseph, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Droskie worked for Wells Fargo Clearing Services LLC beginning on May 4, 2018, and Wells Fargo Advisors starting on May 8, 2018, both based in […]

Investors potentially experienced sales practice violations by securities broker Ronald Warren Wingerter [CRD: 4184143, Lady Lake, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Wingerter worked for Arkadios Capital from December 19, 2017, to July 29, 2022. Continue reading to learn more about the disclosures reported on his record. Calton Associates […]

Investors apparently complained about securities broker Richard Lloyd Carman [CRD: 2002971, Memphis, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carman worked for LPL Financial LLC from January 3, 2002, to August 4, 2021, and later for Ameriprise Financial Services LLC from July 23, 2021, to April 12, 2022. Investors […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against:  GREAT POINT CAPITAL LLC, and their registered representative, PETER CHERNIN (Respondents). The Claimants reside in Florida and New York. Due to health and age-related issues, the Claimants wanted to invest $2.6 million they received from the sale of real estate […]

Investors have reportedly disputed the sales practices of securities broker Richard George Hubert DePalma [CRD: 4517536, Erie, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePalma has been registered with Centaurus Financial Inc. as a securities broker since October 31, 2007, and as a financial advisor since May 27, 2010. […]

Investors potentially incurred losses because of securities broker Richard Edward Ryall [CRD: 408065, Springfield, Massachusetts], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryall has worked for Merrill Lynch since March 8, 2006, as a registered broker, and since September 22, 2006, as a financial advisor. Investors are encouraged to continue reviewing the […]

Investors potentially experienced sales practice violations by securities broker Richard Aaron Huppert [CRD: 2375483, Brooklyn, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Huppert has been registered with Cetera Wealth Services LLC since September 20, 2019. Investors are encouraged to keep reading to discover more about the disclosures […]

Investors apparently complained about securities broker Rajeswaran Venkatraman (also known as Raj Venkatraman) [CRD: 1383008, Lisle, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raj Venkatraman has worked for Voya Financial Advisors Inc. since January 3, 2011. Investors should review the information below to find out more about disclosures involving […]