Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors apparently complained about securities broker Brittany Danielle Slater-Gautreau (also known as Tany Gautreau and Tany Slater) [CRD: 4885737, Overland Park, Kansas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brittany Slater-Gautreau worked for Westpark Capital Inc. from November 20, 2017, to October 30, 2020, American Trust Investment Services Inc. from […]

Investors potentially experienced sales practice violations by securities broker James Charles Killeen [CRD: 2666093, Pasadena, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Killeen worked for Stifel Nicolaus Company Incorporated from July 6, 2009, to February 23, 2024. Read on to discover more about the disclosures involving this securities […]

Investors potentially experienced sales practice violations by securities broker Jeffrey Michael Thure [CRD: 2687213, Melville, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Thure worked for Aegis Capital Corp. from May 2, 2013, to the present, and previously worked for Maxim Group LLC from October 23, 2002, to April 30, […]

Investors have reportedly disputed the sales practices of securities broker Anthony Raymond D'Ascoli (also known as Anthony Dascoli) [CRD: 4133420, Delray Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony D'Ascoli has worked for Oppenheimer Co. Inc. since September 5, 2013, as a broker, and since September 11, 2013, […]

Investors have reportedly disputed the sales practices of securities broker Devin Shailesh Patel [CRD: 6632487, Tampa, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Devin Patel worked for Sanford C. Bernstein Co. LLC from January 30, 2023, to September 17, 2025. Investors are encouraged to continue reading to learn more […]

Investors potentially experienced sales practice violations by securities broker Jay Martin Spieler [CRD: 1072642, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Spieler has worked for Oppenheimer Co. Inc. since January 3, 2003, and has been registered there as a financial advisor since April 28, 2006. See […]

Investors potentially incurred losses because of securities broker William Lapiana (also known as Bill Lapiana) [CRD: 4580411, Hoboken, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lapiana has been registered with Ausdal Financial Partners Inc. since June 21, 2024, and previously worked with Newbridge Financial Services Group Inc. and […]

Investors might have sustained losses due to securities broker Ronald Stillman Cole [CRD: 1434325, San Mateo, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cole worked for Colorado Financial Service Corporation from May 3, 2018, to February 5, 2020, Great Point Capital LLC from February 4, 2020, to March 18, […]