Investors potentially incurred losses because of securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Barreca has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since October 11, 2024, and previously worked for […]

Investors have reportedly disputed the sales practices of securities broker Bradley Scott Ford (also known as Brad Ford) [CRD: 1649604, Evansville, Indiana], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Ford worked for Madison Avenue Securities LLC beginning on October 9, 2019, as a broker and October 13, […]

Investors might have sustained losses because of securities broker Cheryl Diane Richardson (also known as Cheryl Diane Johnson) [CRD: 1807190, Freeport, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richardson worked for MML Investors Services LLC beginning on March 25, 2017, and previously worked for MSI Financial Services […]

Investors potentially incurred losses because of securities broker George Reynolds Howard III [CRD: 2958866, Germantown, Tennessee], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Howard worked for Centaurus Financial Inc. beginning May 15, 2018, as a broker and May 17, 2018, as an investment adviser; before that, he was […]

Investors apparently complained about securities broker Sergio M. Rovner (also known as Sergey Rovner) [CRD: 2884441, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rovner has been registered with Aegis Capital Corp. since July 2, 2014. Keep reading to discover more about the disclosures […]

Investors have reportedly disputed the sales practices of securities broker Jeffrey Donald Poosch (also known as Jeff Poosch) [CRD: 2490703, Port Huron, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Poosch worked for Prospera Financial Services Inc. from April 19, 2021, to the present, for Cetera Advisor Networks LLC […]

Investors might have sustained losses because of securities broker John Edmond Tryon [CRD: 1593231, Troy, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Tryon has been registered with Centaurus Financial Inc. as a broker since April 1, 2005, and as an investment adviser since April 23, 2013. […]

Investors potentially experienced sales practice violations by securities broker Deborah Sue Anderson (also known as Deborah Sue Beemer) [CRD: 1795405, Redlands, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson worked for Centaurus Financial Inc. from April 17, 2006, to June 5, 2020, and later for LPL Financial […]

Investors potentially incurred losses because of securities broker Gregory John Richards [CRD: 1339012, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richards worked for Kingswood Capital Partners LLC beginning May 19, 2023, and Kingswood Wealth Advisors LLC beginning August 3, 2023, following prior employment with DST […]