Investors potentially incurred losses because of securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Barreca has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since October 11, 2024, and previously worked for […]

Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]

Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January […]

Investors may have incurred losses due to securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Barreca worked for Infinex Investments Inc. from July 1, 2016 to January 22, 2021, and for First Horizon Advisors Inc. from […]

FINRA barred securities broker Joseph Adam Eisler [CRD: 2503507, Blue Bell, Pennsylvania] and investors complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eisler worked for LPL Financial LLC from December 19, 2022, to March 27, 2025, and worked for Morgan Stanley between June 1, 2009, and December […]

Investors possibly experienced losses due to securities broker Stephen Parker Nitz (also known as Steve Nitz) [CRD: 1298437, Ridgefield, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Nitz worked for Osaic Institutions Inc. from May 10, 2007 to May 8, 2024, and works for Steward Partners Investment Solutions […]

Investors potentially experienced sales practice violations due to securities broker Tony Wei Wang [CRD: 4531200, Newport Beach, California], according to publicly available information through FINRA’s BrokerCheck. Evidently, Wang has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since November 5, 2010, serving both as a broker and an investment adviser at the firm’s Newport […]

Investors potentially experienced sales practice violations because of securities broker Mario Hank [CRD: 6723996, Houston, Texas], according to disclosures on FINRA BrokerCheck. Evidently, Mario Hank registered with Banorte Securities International, Ltd. since December 20, 2016, and worked with Banorte Asset Management Inc. since December 7, 2021. Below, you can find out more about the securities […]

Investors potentially experienced losses due to securities broker Steven Richard Baaden (also known as Steve Baaden [CRD: 1266766, Dallas, Texas], according to disclosures on FINRA BrokerCheck. It appears that Steven Baaden worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 2011 to January 2013, and is currently registered with Oppenheimer Co. Inc. since February […]