Investors potentially incurred losses because of securities broker Franklin Lainez [CRD: 7721324, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lainez has worked for TD Private Client Wealth LLC in Staten Island, New York, since June 1, 2023, and for the firm’s New York, New York, […]

Investors apparently complained about securities broker Joseph Brian Glaze (also known as J. Brian Glaze) [CRD: 5373140, Graham, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Glaze previously worked for LPL Financial LLC from December 14, 2012, to September 2, 2022; Avantax Investment Services Inc. and […]

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors […]

Investors have reportedly disputed the sales practices of securities broker Patrick H. Siria (also known as Pat H. Siria) [CRD: 2561101, Lexington, Kentucky], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Siria worked for Cetera Investment Services LLC from June 20, 2019, to October 23, 2023. See below for […]

Investors potentially incurred losses because of securities broker William Lefkowitz [CRD: 1170503, Livingston, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lefkowitz worked for National Securities Corporation from November 17, 2012, to July 22, 2022, and later joined B. Riley Wealth Management on July 22, 2022, where he remains registered. Readers […]

Investors potentially experienced sales practice violations by securities broker Jack Frank Bruscianelli [CRD: 2113986, Oakbrook Terrace, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bruscianelli worked for National Securities Corporation from January 2, 2002, to July 22, 2022, and has been registered with B. Riley Wealth Management since July 22, […]

Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out […]

Investors potentially experienced sales practice violations by securities broker Gerald Best Hanifan Jr. (also known as Jerry Hanifan) [CRD: 2286666, West Jefferson, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hanifan worked for USA Financial Securities LLC beginning April 24, 2006, and USA Financial Securities Corporation beginning March 27, 2007. Investors […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]