Investors apparently complained about securities broker Marilyn Shereen Hoosen [CRD: 4639441, Alexandria, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hoosen worked for Merrill Lynch from August 19, 2016, to June 11, 2025, before joining Stifel Independent Advisors LLC on June 10, 2025. Read on to learn more about Hoosen’s disclosures […]

Investors potentially experienced sales practice violations due to securities broker Arif Ahmed [CRD: 3099755, Washington, District of Columbia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, he worked for J.P. Morgan Securities LLC from September 29, 2023, to May 16, 2025. Keep reading to find out more about Ahmed’s disclosures and the […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]

Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams. James Williams Disclosed Negligence, Breach […]

FINRA suspended securities broker Michael Joseph Dugan (also known as Michael Joe Dugan and Mike Dugan) [CRD: 2824966, Staten Island, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Dugan worked for Alexander Capital, L.P. in Staten Island and Red Bank from July 11, 2024 to June 26, 2025. […]

Investors might have sustained losses because of securities broker Daniel Isreal Schapiro (also known as Dan Schapiro) [CRD: 2335244, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schapiro joined Dominari Securities LLC on March 1, 2024. Previously, he worked at Aegis Capital Corporation from August 15, 2017 to March […]

Investors potentially experienced losses due to securities broker Arthur Michael DeFilippo [CRD: 1348804, Boston, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur DeFilippo has worked for Revere Securities LLC since July 8, 2010. Below, you can find important information about the disclosures involving this securities broker, which may be relevant […]

Investors might have sustained losses because of securities broker Leonard Neil Rich [CRD: 375427, Uniondale, New York], according to disclosures on FINRA BrokerCheck. It appears that Leonard Rich has been registered with Joseph Gunnar Co. LLC since February 24, 2003. Keep reading to learn more about the securities broker’s disclosures and what they might mean […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Viqas Akhtar (also known as B. Akhtar) [CRD#: 5624412, Miami, Florida]. Viqas Akhtar has been employed at four firms over his 14-year career. He is currently registered with B. Riley Wealth Management, where he has worked since July 22, 2022. Prior to this, Akhtar […]