Investors reportedly complained about securities broker Rafael Scott Klein (also known as Rafe Klein) [CRD: 2865823, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. Evidently, Klein joined David Lerner Associates Inc. on April 13, 2005, and Spirit of America Management Corp. on March 29, 2018. Keep reading to learn more about the disclosures involving Klein. […]

Investors potentially experienced sales practice violations due to securities broker Michael Anthony Elias [CRD: 1522834, Brentwood, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Elias worked for Packerland Brokerage Services Inc. from March 12, 2013, to December 31, 2018, before joining Centaurus Financial Inc. on January 2, 2019, where […]

Investors might have sustained losses through securities broker Sean Francis Mostero [CRD: 6447158, Torrance, California], according to public information found on FINRA BrokerCheck. Evidently, Mostero worked for First Allied Securities Inc. from July 7, 2017, to September 8, 2022, Cetera Advisors LLC from September 8, 2022, to May 3, 2023, and LPL Financial LLC from […]

One or more investors possibly experienced losses because of securities broker Craig Murchison McDaniel [CRD: 1087979, Columbia, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDaniel joined Capital Investment Group Inc. on January 22, 2004, and Capital Investment Advisory Services LLC on September 29, 2009. Keep reading to find out […]

One or more investors possibly experienced losses because of securities broker Duane Scott Pellman [CRD: 2426979, New Bern, North Carolina], according to public information found on FINRA BrokerCheck. Evidently, Pellman worked for Excel Wealth Management LLC from February 2019 to March 2023, and later joined Tactive Advisors LLC in March 2024, while also operating his […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]

Investors reportedly complained about securities broker Sanford Graham Simmons Jr. (also known as Sandy Simmons) [CRD: 1018907, Castle Rock, Colorado], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Simmons worked for Saxony Securities Inc. from January 3, 2023, to October 2, 2024; Patrick Capital Markets LLC from March 22, 2021, to […]

The State of Maryland and FINRA both sanctioned securities broker Raymond Hill Smith Jr. [CRD: 731506, Macon, Georgia], according to information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith joined Smith Brown Groover Inc. on May 18, 1981, and SBG Wealth Management on February 19, 2003. Continue reading for details about the regulatory disclosures […]

Investors potentially experienced sales practice violations due to securities broker Vincent Jerome Camarda [CRD: 2463703, Massapequa, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Camarda worked for American Portfolios Financial Services Inc. from April 22, 2014, to December 31, 2018, Traderfield Securities Inc. from January 9, 2019, to September 25, […]