Investors might have sustained losses due to securities broker Scott Francis Droskie [CRD: 2954696, St. Joseph, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Droskie worked for Wells Fargo Clearing Services LLC beginning on May 4, 2018, and Wells Fargo Advisors starting on May 8, 2018, both based in […]

Investors apparently complained about securities broker Janet Franco Gordon [CRD: 1114409, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Franco Gordon worked for Raymond James Associates Inc. beginning October 16, 2023, and for Morgan Stanley from June 1, 2009, to October 18, 2023. Keep reading […]

One or more investors might have sustained losses because of securities broker John Colwell Kauzlarich (also known as Jake Kauzlarich) [CRD: 5096866, Overland Park, Kansas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kauzlarich has worked with Park Avenue Securities LLC since August 14, 2008, and has also served as an investment adviser […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]