Investors apparently complained about securities broker John James Pescatore [CRD: 2183696, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Pescatore worked for Oppenheimer Co. Inc. from January 9, 2006, to October 31, 2025, and later registered with Ameriprise Financial Services LLC beginning October 27, 2025, as a broker and […]

Investors potentially experienced sales practice violations by securities broker Nathan Goad (also known as Nate Goad) [CRD: 5421740, Wayne, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goad worked for J. Alden Associates Inc. beginning January 7, 2022, and has also been registered as an investment adviser with Alden Investment Group […]

Investors potentially incurred losses because of securities broker Ryan Jonathan Sherer [CRD: 5952617, Reno, Nevada], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Sherer has been registered with Emerson Equity LLC since April 15, 2019, where he has worked as both a broker and an investment adviser. Investors can see below […]

Investors potentially experienced sales practice violations by securities broker Jason Anthony Russo [CRD: 2588652, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Russo worked for Laidlaw Company beginning on July 16, 2004, and remains registered with the firm. Investors should continue reading to discover more about the disclosures […]

Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue […]

Investors might have sustained losses due to securities broker Robert Edward Burns (also known as Rob Burns) [CRD: 4066393, Greenwood Village, Colorado], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Burns worked for Cetera Wealth Services LLC beginning September 20, 2019, and later became registered with Cetera Investment Advisers LLC on June […]

Investors potentially incurred losses because of securities broker Christopher Michael Dukes (also known as Chris Dukes) [CRD: 4712873, Westlake Village, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Dukes worked for WestPark Capital Inc. beginning November 14, 2017, and previously worked for Delta Investment Management LLC from November 1, 2018, to […]

Investors potentially incurred losses because of securities broker David Brien Perkins [CRD: 1824251, Raleigh, North Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Perkins has been registered with Hatteras Capital Distributors LLC since June 20, 2007, and with Hatteras Investment Partners LP since January 5, 2018. Investors should keep reading […]

Investors potentially experienced sales practice violations by securities broker Jason Bryce Vanclef [CRD: 5096529, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Vanclef worked for Westpark Capital Inc. from October 9, 2017, to January 27, 2020, and later associated with Delta Investment Management LLC from November 26, 2018, to […]