Investors apparently complained about securities broker Bruce Robert Beetz [CRD: 1527269, Hollister, California], based on disclosures on FINRA BrokerCheck. Evidently, Beetz has been registered with Emerson Equity LLC since November 4, 2019, and previously worked for Oak Tree Securities Inc. in Paicines, California, from April 2, 2001, to November 4, 2019. Read on to find […]

Investors reportedly complained about securities broker Andrew Spiro Pandis [CRD: 2928410, Forest Hills, New York], according to disclosures on FINRA BrokerCheck. Evidently, Pandis worked for Cetera Investment Services LLC from December 1, 2017, to July 24, 2025. Read on to discover more about the disclosures involving Pandis. Essex National Securities LLC Investor Accused Pandis Of […]

Investors reportedly complained about securities broker Rocco Gerard Guidicipietro (also known as Rocco Peters) [CRD: 2489732, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Guidicipietro has been registered with Alexander Capital L.P. since February 17, 2012. Keep reading to learn more about Guidicipietro’s disclosures and the disputes connected […]

Investors might have sustained losses due to securities broker Elaine Marie Zito [CRD: 2849238, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. Evidently, Zito worked for Newbridge Securities Corporation from November 28, 2016, to November 1, 2019. Read on to discover more about the disclosures involving Zito. Newbridge Securities Corporation Investor Accused Zito Of Breach […]

Investors potentially experienced sales practice violations due to securities broker Timothy Eugene Brown (also known as Tim Brown) [CRD: 1663519, Winneconne, Wisconsin], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Emerson Equity LLC in Encinitas, California, from August 31, 2016, to July 1, 2024, and is currently registered […]

Investors potentially experienced sales practice violations due to securities broker Enrique Lopez (also known as Rick Lopez) [CRD: 2209385, Mission, Texas], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lopez worked for LPL Financial LLC in McAllen, Texas, from March 13, 2008, to August 8, 2018, and has been registered with […]

Investors potentially experienced sales practice violations due to securities broker Alan Bartlett Harrison (also known as Bart Harrison) [CRD: 1616987, Trussville, Alabama], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrison has been registered with Concorde Investment Services LLC since May 6, 2015. Read on to discover more about Harrison’s disclosures […]

Investors apparently complained about securities broker Joseph Michael Cason (also known as Joey Cason) [CRD: 2455720, Brunswick, Georgia], based on disclosures on FINRA BrokerCheck. Evidently, Cason has been registered with Osaic Wealth Inc. since August 23, 2024, and previously worked at Triad Advisors LLC in Brunswick, Georgia, from March 9, 2016, to August 23, 2024. […]

SEC sanctioned securities broker Tony Barouti (also known as Ahmad Agha Barouti) [CRD: 3031995, Los Angeles, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barouti has been registered with Emerson Equity LLC since June 13, 2017. Read below to find out more about the disclosures […]