Investors have reportedly disputed the sales practices of securities broker Mark Andrew D'Ercole (also known as Mark Andrew Dercle and Mark Anthony Dercle) [CRD: 820220, San Francisco, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark D’Ercole worked for Portsmouth Financial Services from February 21, 2003, to December 31, 2022. […]

Investors potentially experienced sales practice violations by securities broker Carmen Dean Morrone Jr. [CRD: 1898874, Wantagh, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morrone has been registered with Realta Equities Inc. since May 12, 2022, and previously worked for B. Riley Wealth Management from October 29, 2021, to […]

Investors apparently complained about securities broker Samuel Bruce Phillips Jr. [CRD: 2239471, McDonough, Georgia], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Phillips worked for Cape Securities Inc. beginning July 7, 2016, and has also been registered with Cape Investment Advisory Inc. since July 7, 2016, and American Global Wealth Management […]

Investors might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors […]

Investors potentially experienced sales practice violations by securities broker Eric Jose Garcia [CRD: 5909532, Miami, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garcia worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and March 13, 2017, as an investment adviser. Read on to […]

Investors potentially experienced sales practice violations by securities broker Anna-Marie Ocampo Lovell (also known as Anna-Marie Ocampo Agana) [CRD: 5498414, La Jolla, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lovell worked for Infinity Financial Services from March 22, 2019, and for Infinity Financial Services Advisory from April 27, […]

Investors potentially incurred losses because of securities broker Jason Christopher Cook [CRD: 4349388, Graham, North Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cook worked for Berthel Fisher Company Financial Services Inc. beginning January 3, 2006, BFC Planning Inc. beginning November 7, 2018, and Berthel Fisher Company Financial […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]

Investors have reportedly disputed the sales practices of securities broker Samuel E. Barber [CRD: 4750380, Naugatuck, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barber has worked with Lifemark Securities Corp. since May 12, 2017, and was previously registered with MML Investors Services LLC in Norwalk, Connecticut, from August 10, […]