Investors might have sustained losses due to securities broker Mitchell Manoff [CRD: 815314, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mitchell Manoff has been registered with Corinthian Partners LLC since July 2, 1996. See the following information to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker Philip David Stair [CRD: 4645877, Alpharetta, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Philip Stair worked for Morgan Stanley from January 10, 2014, to the present as a broker and from January 15, 2014, to the present as a financial advisor. Read […]

SEC sanctioned securities broker Steven Robert Graham (also known as Steve Graham) [CRD: 1977736, Valencia, California], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham worked for Western International Securities Inc. from September 4, 2020, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

Investors apparently complained about securities broker Weina Hou [CRD: 5901613, Redwood City, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hou worked for Cetera Investment Services LLC from December 4, 2018, to January 3, 2025, and has been registered with Ameriprise Financial Services LLC since January 3, 2025. Keep reading […]

Investors have reportedly disputed the sales practices of securities broker Richard George Hubert DePalma [CRD: 4517536, Erie, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePalma has been registered with Centaurus Financial Inc. as a securities broker since October 31, 2007, and as a financial advisor since May 27, 2010. […]

Investors potentially experienced sales practice violations by securities broker Randall Duggan [CRD: 5559097, Lynden, Washington], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Randall Duggan worked for Moloney Securities Co. Inc. from January 29, 2016, to December 5, 2025, and Moloney Securities Asset Management LLC from February 23, 2016, to December 5, […]

Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]

Investors potentially incurred losses because of securities broker Gregory Jonathan Ritter (also known as Gregory John Ritter) [CRD: 3087358, Delaware, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Ritter worked for Emerson Equity LLC beginning June 8, 2010, as a broker and has also been registered with the firm as an […]