Investors apparently complained about securities broker Troy Lee Robertson [CRD: 6831574, San Diego, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robertson has been registered with Emerson Equity LLC since April 30, 2024, and previously worked with Copley Financial Group Inc. beginning July 20, 2017. Investors are encouraged to review […]

Investors apparently complained about securities broker Michael Robert Dandrea [CRD: 5919930, Melville, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Dandrea worked for Sovereign Global Advisors LLC from September 13, 2016, to February 23, 2024, and is currently registered with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are […]

Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from […]

Investors might have sustained losses due to securities broker James Dwight McPherson (also known as Jay McPherson) [CRD: 5918462, San Mateo, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson worked for Emerson Equity LLC beginning on February 18, 2021, and previously worked for Great Point Capital LLC from February […]

Investors may have suffered financial losses connected to securities broker Michael Arthur Sebald (also known as Mike Sebald) [CRD: 1426782, Oshkosh, Wisconsin], based on information reported in Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Sebald was associated with Landolt Securities Inc. from January 15, 2009, until August 18, 2023. The information below outlines […]

Investors apparently complained about securities broker Ryan David Finch [CRD: 6379871, Greenwood Village, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Finch worked for Colorado Financial Service Corporation from September 1, 2017, to April 22, 2020, and he has been registered with Emerson Equity LLC since April 21, 2020. Keep reading to […]

Investors have reportedly disputed the sales practices of securities broker James George Witkowski [CRD: 4221931, Liberty, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witkowski has worked for Cetera Advisors LLC since December 10, 2009, and later became registered with Cetera Investment Advisers LLC on March 21, 2024, after previously […]

FINRA fined securities broker Angelo Julius Piccone [CRD: 1401761, Pittsford, New York], and investors complained about him, according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Piccone worked for IBN Financial Services Inc. from April 20, 2011, to November 15, 2024. Keep reading to learn more about Piccone’s disclosures. FINRA Sanctioned Piccone […]