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 […]

Investors apparently complained about securities broker Aaron Brian Graham [CRD: 3167246, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aaron Graham worked for United Planners’ Financial Services of America A Limited Partner beginning August 2, 2005, and has also been registered with AG Financial since April 19, 2006. Continue […]

Investors might have sustained losses due to securities broker Gary Thomas Hughes [CRD: 1700976, Hermosa Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gary Hughes worked for Concorde Investment Services LLC from June 12, 2013, to July 6, 2022. Investors can see below to learn more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker John Francis Femiano [CRD: 2132030, Red Bank, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Femiano worked for Alexander Capital LP beginning April 6, 2023, previously for A.G.P. / Alliance Global Partners from May 18, 2021, to April 25, […]