Investors have reportedly disputed the sales practices of securities broker Jim Eugene Scala Jr. [CRD: 2493873, Valley Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scala worked for PHX Financial Inc. beginning October 29, 2014, and he has been registered with that firm since that date. Keep reading to discover more […]

Investors have reportedly disputed the sales practices of securities broker Ryan Elliot Shoop [CRD: 4522151, Westlake, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shoop worked for Stifel Independent Advisors LLC from October 15, 2021, to January 17, 2024, and from July 6, 2022, to January 17, 2024, and he also worked […]

Investors potentially experienced sales practice violations by securities broker Francis Patrick Cunningham (also known as Fran Cunningham) [CRD: 2105075, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cunningham worked for Stifel Nicolaus from April 4, 2025, to December 5, 2025, and later for B. Riley Wealth Management from November 14, 2025, […]

Investors potentially incurred losses because of securities broker Vincenzo Enrico Trimaldi [CRD: 6547276, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimaldi worked for SW Financial from December 10, 2019, to March 21, 2023, and has been registered with Vienna Capital Partners LLC since July 5, 2023. Investors are […]

Investors apparently complained about securities broker Alfonso E. Figueroa-Bello [CRD: 5011909, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alfonso Figueroa-Bello worked for Tigress Financial Partners LLC from December 14, 2017, to August 17, 2022, and later for Stonecrest Capital Markets Inc. from August 17, 2022, to […]

Investors potentially experienced sales practice violations by securities broker Jason Anthony Russo [CRD: 2588652, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Russo worked for Laidlaw Company beginning on July 16, 2004, and remains registered with the firm. Investors should continue reading to discover more about the disclosures […]

FINRA barred securities broker Raymond William Clark [CRD: 2865619, Red Bank, New Jersey], and one or more investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clark worked for Garden State Securities Inc. from November 8, 2019, to March 24, 2021, Monmouth Capital Management LLC from March 23, 2021, […]

Investors potentially incurred losses because of securities broker Joseph Henry Johnson [CRD: 1312422, Woodbury, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Johnson worked for Vanderbilt Securities LLC beginning on February 2, 2011, and later became registered with Vanderbilt Advisory Services on October 26, 2016. Investors should continue […]

Investors might have sustained losses because of securities broker Enyinnaya Ihechituru Kanu (also known as Enyi Ihechituru Kanu and Ihechituru Enyinnaya Kanu) [CRD: 1863520, Cincinnati, Ohio], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Kanu worked for Capital City Securities LLC from July 4, 2023, to October 7, 2025, […]