Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]

Investors apparently complained about securities broker Anthony Sica [CRD: 1332626, New York, New York], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Sica worked for Joseph Gunnar Co. LLC from October 31, 2003, to June 21, 2024. Read on to discover more about disclosures involving Sica, including regulatory actions and client […]

Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more […]

Investors might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April […]

Investors potentially experienced sales practice violations by securities broker Joel Daniel Harworth [CRD: 3131373, Prescott Valley, Arizona], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Harworth worked for Centaurus Financial Inc. beginning April 13, 2016, as a financial advisor and beginning April 15, 2016, as a securities broker. Investors […]

Investors might have suffered losses due to financial advisor Curt Robert Stauffer [CRD: 2615431, Lancaster, Pennsylvania], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curt Stauffer worked for Coastal Investment Advisors from December 9, 2011, to September 23, 2020, and has worked for CS Planning Corp. (also known as Realta […]

Investors might have sustained losses due to financial advisor Brandon Wesley Hanna [CRD: 6758707, Overland Park, Kansas], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brandon Hanna worked for Creative Planning from April 24, 2017, to September 27, 2023. Read on to learn more about the disclosures involving Hanna. Creative Planning Investor […]

Investors apparently complained about securities broker Joseph John Badolato [CRD: 4769496, Delmar, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Badolato has worked for Key Investment Services LLC since January 12, 2016, as a securities broker and since March 26, 2021, as a financial advisor. Read on to find […]