Investors potentially experienced sales practice violations by securities broker Christopher J. Braccia (also known as Chris Braccia) [CRD: 3273855, Ridgefield, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Braccia has worked with Cetera Advisors LLC since September 8, 2022, and Cetera Investment Advisers LLC since November 12, 2020; previously, he was registered […]

Investors might have sustained losses due to securities broker Thomas Christophe Prentice [CRD: 874774, Rancho Mirage, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Prentice has been registered with RBC Capital Markets LLC since January 6, 2016. Keep reading to find out more about Thomas Prentice’s disclosures. RBC Capital […]

Investors potentially experienced sales practice violations by securities broker Erick George Revelle (also known as Erick Kuebler) [CRD: 2319437, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erick Kuebler has been registered with Sanders Morris LLC as a securities broker since November 22, 2016, and as a financial advisor since December […]

Investors potentially incurred losses because of securities broker Reginald Arthur Rasmussen (also known as Reggie Rasmussen) [CRD: 3078635, Saint Paul, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rasmussen worked for Merrill Lynch Pierce Fenner Smith Incorporated from August 12, 1998, to September 13, 2023. Investors should review the information below to […]

Investors have reportedly disputed the sales practices of securities broker Lawrence Aloysius Whipple III (also known as Trey Whipple) [CRD: 2701809, Wayzata, Minnesota], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Whipple worked for Merrill Lynch from September 4, 2015, to October 3, 2025. Investors are encouraged to continue reading to […]

FINRA suspended securities broker Justin Ray Deiter [CRD: 5225102, Garden City, New York], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Deiter worked for Spartan Capital Securities LLC from January 29, 2020, to September 28, 2023. Keep reading to find out more about Deiter’s disclosures. FINRA […]

Investors potentially incurred losses because of securities broker Vincenzo Enrico Trimaldi [CRD: 6547276, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimaldi worked for SW Financial from December 10, 2019, to March 21, 2023, and has been registered with Vienna Capital Partners LLC since July 5, 2023. Investors are […]

FINRA suspended securities broker Richard Joseph Perlongo [CRD: 4913481, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Perlongo has been registered with Spartan Capital Securities LLC since August 15, 2017. Investors should review the details below to learn more about disclosures involving this securities broker. FINRA […]

Investors potentially experienced sales practice violations by securities broker Melvin Feldman [CRD: 205924, Jersey City, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Melvin Feldman worked for GMS Group beginning on November 2, 1988. Investors are encouraged to continue reading to find out more about the disclosures involving this […]