Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]

Investors potentially incurred losses because of securities broker Eric Lee Diamond (also known as Rick Diamond) [CRD: 1602991, Wellington, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eric Diamond worked for Fidelity Brokerage Services LLC from January 10, 2007, to the present, and Strategic Advisers LLC from March 31, 2025, to […]

Investors apparently complained about securities broker Raymond Samuel Byers [CRD: 2590926, Mishawaka, Indiana], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raymond Byers has worked for UBS Financial Services Inc. since January 29, 2009. Read on to discover more about the disclosures involving Raymond Byers. UBS Investor Accused Byers Of Unsuitable Advice […]

RUDY ANGUIANO is currently registered both as a broker and as an investment advisor with ALEXANDER CAPITAL LP and ALEXANDER CAPITAL WEALTH MANAGEMENT LLC of Red Bank, New Jersey since 1/9/2026. Anguiano was previously listed with LPL Financial of Brea, California from 04/04/2022 - 12/18/2025. In addition, he was listed with AMERIPRISE FINANCIAL SERVICES LLC […]

MARIO L MARTINEZ formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 5/1/2025. Martinez was registered as a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH INC of Ft. Lauderdale, FL from 10/23/2015 […]

Investors have reportedly disputed the sales practices of securities broker Ronald Albert Gelok Jr. (also known as Ron Gelok) [CRD: 1403352, Naples, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gelok worked for Ronald Gelok Associates LLC from November 17, 2017, to the present, and AAG Capital Inc. from July 8, […]

Investors potentially experienced sales practice violations by securities broker Aubrey Walter Lee Jr. [CRD: 1685532, Farmington Hills, Michigan], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aubrey Lee worked for Merrill Lynch from August 18, 1987, to October 2, 2024. Keep reading to find out more about the disclosures involving […]

Investors might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April […]

Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]