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 […]

Investors apparently complained about securities broker John Kacheong Lee [CRD: 2948622, Pleasanton, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lee has been registered with Independent Financial Group LLC since October 28, 2005, as a broker and since October 31, 2005, as an investment adviser. Read below to […]

Investors potentially experienced sales practice violations by securities broker Clovis Mike Morrison [CRD: 1730240, Highland Village, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Morrison has worked for Centaurus Financial Inc. from August 12, 1996, to the present in his capacity as a broker, and from January […]

Investors potentially incurred losses because of securities broker Patrick Wang Lam [CRD: 4723020, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lam worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Securities LLC from October 15, 2018, to April 15, 2019, and J.P. […]

Investors might have sustained losses because of securities broker Michael Anthony Schiavello [CRD: 2153242, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Schiavello worked for Aegis Capital Corp. from September 11, 2017, to April 1, 2024, and has been registered with Dominari Securities LLC […]