Investors apparently complained about securities broker Joyce An Thomas (also known as Cho Ching An) [CRD: 2713664, Diamond Bar, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Thomas has worked for Independent Financial Group LLC since October 8, 2015. See below to find out more about the disclosures involving […]

Investors might have sustained losses because of securities broker Alan Charles Lowenfels (also known as Charles Alan Lowenfels) [CRD: 4512765, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lowenfels has been registered with David Lerner Associates Inc. since May 2, 2002. Keep reading for details about […]

Investors have reportedly disputed the sales practices of securities broker Peter Sandler [CRD: 2847717, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sandler worked for Dominari Securities LLC beginning on February 29, 2024, and previously worked for Aegis Capital Corp. from August 7, 2017, to […]

Investors apparently complained about securities broker John Thomas Hardiman [CRD: 2089333, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hardiman has been registered with Janney Montgomery Scott LLC since August 30, 2017, working there as both a broker and investment adviser. Read below to discover more […]

Investors potentially experienced sales practice violations by securities broker Jason James Nardella (also known as Jay Nardella) [CRD: 2931678, Naples, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Nardella has been registered with Ameriprise Financial Services LLC from October 8, 1997, to the present in his broker […]

Investors have reportedly disputed the sales practices of securities broker William Andrew Grundig [CRD: 2589507, Freehold, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grundig worked for Commonwealth Financial Network from September 30, 2016, to July 31, 2025, before registering with Kestra Investment Services LLC and […]

Investors potentially incurred losses because of securities broker Salvadore Robert Salvo [CRD: 409637, Parsippany, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Salvo worked for Purshe Kaplan Sterling Investments beginning on September 19, 2018, and for Summit Financial LLC beginning on January 3, 2019, with earlier employment at […]

Investors might have sustained losses because of securities broker Duncan Gerard MacEachern [CRD: 1856591, Rochester, Michigan], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that MacEachern worked for LPL Financial LLC beginning on March 12, 2021, and previously worked for Centaurus Financial Inc. from May 14, 2004, to March 12, […]

Investors potentially experienced sales practice violations by securities broker Anna-Marie Ocampo Lovell (also known as Anna-Marie Ocampo Agana) [CRD: 5498414, La Jolla, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lovell worked for Infinity Financial Services from March 22, 2019, and for Infinity Financial Services Advisory from April 27, […]