Investors potentially experienced sales practice violations by securities broker Gregory Dee Cunningham (also known as Greg Cunningham) [CRD: 2477804, Park City, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cunningham has been registered with Raymond James Financial Services Inc. since March 1, 2010, and with Raymond James Financial […]

Investors apparently complained about securities broker David Christian Waal [CRD: 1226437, Irvine, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Waal worked for Emerson Equity LLC beginning on June 30, 2021, and previously worked for Orchard Securities LLC from May 8, 2020, to October 12, 2020. Keep reading for […]

Investors might have sustained losses because of securities broker Joseph Andre Darracq [CRD: 1250533, Pleasant Hill, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Darracq worked for Kestra Investment Services LLC from February 4, 2013, to June 14, 2021. Read below to learn more about Darracq’s disclosures. Kestra Investment […]

Investors potentially experienced sales practice violations by securities broker Shannon Marie Powers (also known as Shannon Marie Catuogno and Shannon Powers-Solomon) [CRD: 2367198, Ridgefield, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Powers has worked with multiple firms, including Innovation Partners LLC and IP Financial Advisory Services LLC since […]

Investors apparently complained about securities broker Robert Macaluso [CRD: 1348161, Boca Raton, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Macaluso worked for Stifel Nicolaus Company Incorporated from April 30, 2010, to July 10, 2024. Keep reading to discover more about Macaluso’s disclosures. Stifel Investor Accused Macaluso […]

Investors potentially incurred losses because of securities broker Jonathan Hilton Malinger [CRD: 5201626, Pasadena, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Malinger has been registered with Wedbush Securities Inc. since February 18, 2022. Read below to learn more about Malinger’s disclosures and what they might mean for affected […]

Investors have reportedly disputed the sales practices of securities broker Robert Allen Moore Jr. [CRD: 2051333, Marlton, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Moore worked for J. Alden Associates Inc. from July 6, 2022, and previously for Purshe Kaplan Sterling Investments from October 10, 2016, […]

Investors potentially experienced sales practice violations by securities broker Brian Earl Watson [CRD: 3181953, Gainesville, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Watson worked for Valmark Securities Inc. from February 24, 1999, to February 28, 2025, and he has additionally served as an advisor and partner at Koss […]

Investors potentially experienced sales practice violations by securities broker Raymond Noel Garner [CRD: 1489704, Saint Augustine, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garner worked for Lifemark Securities Corp. from November 6, 2018, to July 15, 2020. Read on to find out more about the disclosures involving […]