Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin. Merrill Lynch […]

Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

FINRA sanctioned securities broker Frederick Joseph Cammarano III (also known as Freddy Cammarano) [CRD: 2277307, New York, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cammarano worked for Spartan Capital Securities LLC from November 27, 2013, to December 31, 2024. Read on to learn more about allegations involving supervisory failures […]

Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]

Investors apparently complained about securities broker Dominic Julio Baldini [CRD: 3082081, San Mateo, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Baldini worked for Emerson Equity LLC as a financial advisor since March 5, 2004, and as a securities broker since April 12, 2004. Read on to discover more about Baldini’s […]

Investors potentially incurred losses because of securities broker Kenneth Joseph Arena (also known as Ken Arena and Kenny Arena) [CRD: 6997, Pompano Beach, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arena worked for Cetera Wealth Services LLC from December 1, 2023, to the present, Cetera Investment Advisers LLC […]

Investors potentially incurred losses because of securities broker Danny Ray Strain [CRD: 437903, Columbus, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Strain worked for Cape Securities Inc. since November 3, 2008, Cape Investment Advisory Inc. since February 6, 2009, and Global Investment Advisory since March 19, 2026. Investors are encouraged to […]

Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]

Investors apparently complained about securities broker Richard Timothy Kersting Jr. [CRD: 1835418, Naples, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kersting worked for Ameriprise Financial Services LLC from October 20, 2021, to the present, and previously for Bruderman Asset Management LLC and Bruderman Brothers LLC from March 18, 2015, […]