Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]

Investors apparently complained about securities broker John Kacheong Lee [CRD: 2948622, Pleasanton, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lee has been registered with Independent Financial Group LLC since October 28, 2005, as a broker and since October 31, 2005, as an investment adviser. Read below to […]

Investors potentially incurred losses because of securities broker Patrick Wang Lam [CRD: 4723020, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lam worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Securities LLC from October 15, 2018, to April 15, 2019, and J.P. […]

Investors might have sustained losses because of securities broker Michael Anthony Schiavello [CRD: 2153242, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Schiavello worked for Aegis Capital Corp. from September 11, 2017, to April 1, 2024, and has been registered with Dominari Securities LLC […]

Investors potentially experienced sales practice violations by securities broker William Bernard Tunink (also known as Bill Tunink) [CRD: 2738224, West Des Moines, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Tunink worked for LPL Financial LLC from October 29, 2021, to September 23, 2025, and for Avantax Investment […]

Investors apparently complained about securities broker Jonathan Gabriel Gazdak [CRD: 5678294, Red Bank, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Gazdak has been registered with Alexander Capital L.P. since May 13, 2014. Read on for details about the disclosures involving Gazdak and the allegations raised about him. Alexander Capital L.P. Investor […]

Investors have reportedly disputed the sales practices of securities broker Michael Geoffrey Minter [CRD: 2989575, Lutz, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Minter has been registered with Lifemark Securities Corp. since September 23, 2009, and as an investment adviser representative with the same firm since August 25, 2021. Read […]

Investors potentially experienced sales practice violations due to securities broker Dustin Johnson Javier [CRD: 6025214, Bartlett, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, Javier worked for Ausdal Financial Partners Inc. from May 20, 2016, to December 31, 2021. Read below for details about Javier’s disclosures. Ausdal Financial Partners Inc. Investor Accused Javier […]