Investors potentially incurred losses because of securities broker Bruce Alan Hartzmark [CRD: 1106323, Beachwood, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hartzmark has been registered with Oppenheimer Co. Inc. since April 12, 1988, as a broker and since March 31, 2006, as an investment adviser. Keep reading to […]

Investors apparently complained about securities broker Timothy Revell Roberson (also known as Tim Roberson) [CRD: 2200567, Brentwood, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roberson worked for Merrill Lynch from January 23, 1992, to October 23, 2024, and later joined Stifel Nicolaus on October 21, 2024, where he remains registered. Investors […]

Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]

Investors potentially incurred losses because of securities broker Michael Salvatore Puma [CRD: 2460247, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Puma worked for Oppenheimer Co. Inc. from January 2, 2002, to December 31, 2022. Keep reading to find out more about the disclosures involving […]

Investors apparently complained about securities broker Kurt Charles Jackson [CRD: 2913769, Arroyo Grande, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jackson has been registered with Commonwealth Financial Network since October 22, 2015. Read below to discover more about Jackson’s disclosures. Commonwealth Financial Network Investor Accused Jackson […]

Investors potentially experienced sales practice violations by securities broker Sean McCabe [CRD: 5479643, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that McCabe has been registered with Network 1 Financial Securities Inc. since March 9, 2020, and he previously worked for Worden Capital Management LLC from June […]

Investors might have sustained losses because of securities broker Brian James Zimmerman [CRD: 2401501, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Zimmerman has been registered with Independent Financial Group LLC since April 10, 2012, working as both a broker and investment adviser during this period. […]

Investors potentially incurred losses because of securities broker Andrew Zigouras (also known as Andreas Zigouras and Andy Zigouras) [CRD: 1248597, Teaneck, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Zigouras has been registered with Concorde Investment Services LLC since October 15, 2015. Read on to learn more about […]