Investors potentially incurred losses because of securities broker Bruce Alan Hartzmark [CRD: 1106323, Beachwood, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hartzmark has been registered with Oppenheimer Co. Inc. since April 12, 1988, as a broker and since March 31, 2006, as an investment adviser. Keep reading to […]

Investors apparently complained about securities broker Steven Michael Brundage (also known as Steve Brundage) [CRD: 2597779, Las Vegas, Nevada], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brundage worked for Ameriprise Financial Services LLC beginning on October 4, 1996, as a broker and March 9, 2001, as an investment […]

Investors potentially experienced sales practice violations by securities broker Robert Randolph Lott (also known as Randy Lott) [CRD: 712795, Birmingham, Alabama], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lott worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning on May 27, 2020, and […]

Investors apparently complained about securities broker Timothy Revell Roberson (also known as Tim Roberson) [CRD: 2200567, Brentwood, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roberson worked for Merrill Lynch from January 23, 1992, to October 23, 2024, and later joined Stifel Nicolaus on October 21, 2024, where he remains registered. Investors […]

Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]

Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out […]

Investors apparently complained about securities broker Paul Richard Meyer [CRD: 3062534, Minnetonka, Minnesota], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meyer has worked for RBC Capital Markets LLC beginning on October 11, 2017, where he has been registered as both a broker and investment adviser. Keep reading to discover more […]

MICHAEL RODGER PINEDA (MICHAEL R PINEDA) is currently registered as an investment advisor with LIFEMARK SECURITIES CORP. of Denver, Colorado since 9/19/2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MICHAEL R PINEDA has been in the securities industry for 30 years, has been listed with 13 firms, and has 3 disclosures on […]

Did your financial advisor recommend Priority Income Fund Class R2? You may be holding a high-risk investment that has lost over half its value. Our firm is investigating potential claims of unsuitable investment recommendations regarding Priority Income Fund Class R2. Marketed to retail investors as a steady income generator, this fund is actually a complex, high-risk […]