Investors might have sustained losses due to securities broker Reginald Howell Robinson (also known as Reggie Robinson and Reginal Robinson) [CRD: 1963649, Tampa, Florida], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robinson worked for Corinthian Partners, L.L.C. from August 21, 2017, to March 25, 2022, and IFS Securities from […]

One or more investors possibly experienced losses because of securities broker Michele George Savarese (also known as Michael Savarese and Mike Savarese) [CRD: 1241811, San Diego, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Savarese joined CreativeOne Securities LLC on August 15, 2018. He previously worked with Kestra Advisory […]

FINRA barred securities broker Michael Richard Rosalia [CRD: 2323953, Melville, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosalia worked with SW Financial from April 5, 2021, until August 29, 2022, before the firm itself was expelled by FINRA in May 2023. Before that, he was employed at Worden […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]

One or more investors possibly experienced losses because of securities broker Carl Damien Gill [CRD: 1076361, Troy, Michigan], according to disclosures on FINRA BrokerCheck. Evidently, Gill worked for United Planners’ Financial Services of America from November 14, 2011, to December 4, 2015. Keep reading to learn more about Gill’s disclosures and the disputes that investors […]

Investors might have sustained losses through securities broker David Michael Smith Sr. [CRD: 850797, Vero Beach, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Smith worked for Intervest International Equities Corporation from September 28, 1995, to February 14, 2025, Intervest International Inc. from August 12, 2005, to March 19, 2025, and more recently […]

Investors reportedly complained about securities broker Michael Joseph Whitaker [CRD: 6316100, The Villages, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Whitaker worked for Newbridge Securities Corporation from April 10, 2014, to March 24, 2025. Keep reading to learn more about the disclosures involving Whitaker and the allegations connected to his […]

One or more investors possibly experienced losses because of securities broker William Christopher Duffy (also known as Will Duffy) [CRD: 6726333, Lone Tree, Colorado], according to publicly available information on FINRA BrokerCheck. Evidently, Duffy worked for Innovation Partners LLC from August 9, 2022, to January 3, 2024, Sharenett Securities LLC from February 13, 2022, to […]

Investors potentially experienced sales practice violations due to securities broker Richard Dennis Laspaluto (also known as Rick Laspaluto) [CRD: 2541603, Las Vegas, Nevada], according to publicly available information on FINRA BrokerCheck. It appears that Richard Laspaluto joined Centaurus Financial Inc. on August 29, 2005, working as both a securities broker and financial advisor. Read the […]