Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more […]

Investors might have suffered losses due to financial advisor Curt Robert Stauffer [CRD: 2615431, Lancaster, Pennsylvania], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curt Stauffer worked for Coastal Investment Advisors from December 9, 2011, to September 23, 2020, and has worked for CS Planning Corp. (also known as Realta […]

Investors might have sustained losses due to financial advisor Brandon Wesley Hanna [CRD: 6758707, Overland Park, Kansas], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brandon Hanna worked for Creative Planning from April 24, 2017, to September 27, 2023. Read on to learn more about the disclosures involving Hanna. Creative Planning Investor […]

Investors apparently complained about securities broker Joseph John Badolato [CRD: 4769496, Delmar, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Badolato has worked for Key Investment Services LLC since January 12, 2016, as a securities broker and since March 26, 2021, as a financial advisor. Read on to find […]

Investors might have sustained losses due to securities broker William Shyan Chan (also known as Wei Shyan Chan) [CRD: 3103541, Rowland Heights, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Citigroup Global Markets Inc. from March 11, 2011, to the present in Rowland Heights, California. Keep reading to […]

Investors potentially incurred losses because of securities broker Kenneth Joseph Arena (also known as Ken Arena and Kenny Arena) [CRD: 6997, Pompano Beach, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arena worked for Cetera Wealth Services LLC from December 1, 2023, to the present, Cetera Investment Advisers LLC […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]

Investors potentially incurred losses because of securities broker Dan John Holzer [CRD: 5779187, Wilmington, Delaware], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Holzer worked for Emerson Equity LLC from November 12, 2013, to September 14, 2022, and has been registered with Realta Equities Inc. since September 7, 2022, and Realta Investment […]