Investors might have sustained losses due to securities broker Seth Andrew Nannini [CRD: 4406510, Boone, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nannini has been registered with Capital Investment Group Inc. since December 8, 2006, and previously served as a registered investment adviser. Read below for details […]

Investors have reportedly disputed the sales practices of securities broker Joseph Anthony Amato [CRD: 2751635, Red Bank, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Amato has been registered with Alexander Capital L.P. since January 2, 2013, and with Alexander Capital Wealth Management LLC since April 18, 2021. Keep […]

Investors potentially incurred losses due to securities broker Rodger Drik Thomas (also known as Rod Thomas and Thomas Rod) [CRD: 4010563, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas has been registered with Newbridge Securities Corporation since October 24, 2018, and with NFSG Corporation since October 30, […]

Investors apparently complained about securities broker Bruce Robert Beetz [CRD: 1527269, Hollister, California], based on disclosures on FINRA BrokerCheck. Evidently, Beetz has been registered with Emerson Equity LLC since November 4, 2019, and previously worked for Oak Tree Securities Inc. in Paicines, California, from April 2, 2001, to November 4, 2019. Read on to find […]

FINRA barred securities broker John Michael Palma [CRD: 6848651, New York, New York], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Palma worked for Spartan Capital Securities LLC from September 15, 2022, to March 17, 2025, SW Financial from December 10, 2019, to September 14, 2022, and Worden […]

Investors reportedly complained about securities broker Rocco Gerard Guidicipietro (also known as Rocco Peters) [CRD: 2489732, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Guidicipietro has been registered with Alexander Capital L.P. since February 17, 2012. Keep reading to learn more about Guidicipietro’s disclosures and the disputes connected […]

Investors might have sustained losses due to securities broker Elaine Marie Zito [CRD: 2849238, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. Evidently, Zito worked for Newbridge Securities Corporation from November 28, 2016, to November 1, 2019. Read on to discover more about the disclosures involving Zito. Newbridge Securities Corporation Investor Accused Zito Of Breach […]

Investors potentially experienced sales practice violations due to securities broker Timothy Eugene Brown (also known as Tim Brown) [CRD: 1663519, Winneconne, Wisconsin], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Emerson Equity LLC in Encinitas, California, from August 31, 2016, to July 1, 2024, and is currently registered […]

Investors reportedly complained about securities broker Robert Edward Ainbinder Jr. [CRD: 2389470, Boca Raton, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Ainbinder worked for WestPark Capital Inc. from November 4, 2022, to January 11, 2023; Univest Securities LLC from June 22, 2020, to January 25, 2021; and WestPark Capital Inc. again from November 6, […]