Matthew Mitchell Chancey, also known as Matt Chancey (CRD# 5645874), is a securities broker based in Plano, Texas. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record lists a pending client dispute alleging sales practice violations. Chancey was registered with Realta Equities from November 24, 2021, to July 6, 2026, and with Realta Investment Advisors from […]

Roderick Roxas Uy (CRD: 4945992), a securities broker based in Rancho Palos Verdes, California, is involved in a client lawsuit alleging investment losses, according to the Financial Industry Regulatory Authority's (FINRA) BrokerCheck records. Uy worked for LPL Financial LLC as a broker since January 24, 2011, and as a financial advisor since January 25, 2011. […]

Nicholas James Centis, also known as Nick Centis (CRD: 6187468), is a securities broker based in San Francisco, California. A client alleges that he made an unsuitable investment recommendation that caused losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Stifel Nicolaus Company Incorporated from December 4, 2015, to October 26, […]

Securities broker Charles KC Chan (CRD: 2894827), of Lexington, Kentucky, is the subject of a client complaint involving possible investment losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Avantax Investment Services from October 2, 1997, to September 5, 2025, and Avantax Advisory Services from July 29, 2024, to September […]

Investors may have suffered losses involving Rudy Anguiano (CRD: 5188950), a former securities broker based in Red Bank, New Jersey. FINRA permanently barred Anguiano. According to FINRA BrokerCheck, Anguiano was registered with Alexander Capital, L.P. from January 12, 2026, to July 8, 2026; LPL Financial LLC from April 4, 2022, to December 18, 2025; and […]

Harvey Alan Brode [CRD: 31169], a former securities broker in Southfield, Michigan, was sanctioned by the Financial Industry Regulatory Authority (FINRA), according to BrokerCheck. Brode was registered with Park Avenue Securities LLC from July 31, 2026, until October 2026. He was also registered with Osaic Advisory Services LLC from November 8, 2024, to August 4, […]

Investors who believe they suffered losses because of Norman Phillip Fuchs (CRD: 721017), a securities broker in Miami, Florida, may want to review the disclosures on his FINRA BrokerCheck record. Fuchs worked for Hapi Securities LLC from February 23, 2022, to May 5, 2025, and Planner Securities LLC from February 22, 2018, to May 31, […]

Investors may have suffered investment losses connected to securities broker Joel Anthony Benanti [CRD: 4210681, Hauppauge, New York]. He was registered with Network 1 Financial Securities Inc. from June 17, 2019, to May 31, 2024, and his Financial Industry Regulatory Authority (FINRA) BrokerCheck record includes regulatory and client dispute disclosures. Read on for more about […]

American Portfolios Financial Services Inc. (CRD: 18487), based in Holbrook, New York, was sanctioned by the Financial Industry Regulatory Authority (FINRA) over its supervision of unit investment trust (UIT) recommendations. The firm joined FINRA in 1987 and operated as a full-service broker before its combination with Osaic Wealth Inc. took effect on October 15, 2024. […]