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 might have sustained losses because of securities broker Roderick Rodriguez (also known as Roderick Rodriquez) [CRD: 2680445, Bronx, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rodriguez worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and beginning on September 29, 2020, as […]

Investors reportedly complained about securities broker Andrew Spiro Pandis [CRD: 2928410, Forest Hills, New York], according to disclosures on FINRA BrokerCheck. Evidently, Pandis worked for Cetera Investment Services LLC from December 1, 2017, to July 24, 2025. Read on to discover more about the disclosures involving Pandis. Essex National Securities LLC Investor Accused Pandis Of […]

Investors reportedly complained about securities broker Chi Chui Mak [CRD: 5045071, Brooklyn, New York], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mak has worked with TD Private Client Wealth LLC since June 28, 2023, at both its New York, New York, and Brooklyn, New York, offices. Previously, Mak was employed […]

Investors possibly experienced losses because of securities broker Tamara Ann Glenn (also known as Tamara Ann Dawson, Tamara Ann Gallegos, and Tamara Haselby) [CRD: 4324857, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tamara Glenn worked for LPL Financial LLC from June 13, 2023, to January 25, 2024; Sigma […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Edward Hutchingson [CRD: 2131647, Bayside, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hutchingson worked for Cetera Investment Services LLC from December 1, 2017, and for Cetera Investment Advisers LLC since April […]