Investors potentially incurred losses because of securities broker Joseph Jemel Steward II [CRD: 3241331, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Steward worked for Spartan Capital Securities LLC from April 5, 2016, to August 11, 2022, and has been registered with PHX Financial Inc. since […]

Investors potentially incurred losses because of securities broker Robert Lewis Moon [CRD: 2431875, Bethesda, Maryland], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Moon worked for Merrill Lynch from August 29, 2008, to November 6, 2023, and later registered with Rockefeller Financial LLC and Rockefeller Capital Management beginning November 3, 2023. […]

Investors potentially incurred losses because of securities broker Joseph Henry Johnson [CRD: 1312422, Woodbury, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Johnson worked for Vanderbilt Securities LLC beginning on February 2, 2011, and later became registered with Vanderbilt Advisory Services on October 26, 2016. Investors should continue […]

FINRA sanctioned securities broker Nicholas Michael Armellino [CRD: 3189691, Jersey City, New Jersey], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Armellino worked for GMS Group from May 10, 2007, to May 23, 2025. See below to learn more about the disclosures involving this […]

Investors potentially experienced sales practice violations by securities broker Sean McCabe [CRD: 5479643, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that McCabe has been registered with Network 1 Financial Securities Inc. since March 9, 2020, and he previously worked for Worden Capital Management LLC from June […]

Investors have reportedly disputed the sales practices of securities broker Russell Taylor Jones [CRD: 1383542, Troy, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jones worked for SagePoint Financial Inc. from August 13, 2010, to November 12, 2020. Continue reading for details about Jones’s disclosures and investor disputes. SagePoint […]

Investors have reportedly disputed the sales practices of securities broker Robert Charles Knutson Jr. [CRD: 272788, St. Paul, Minnesota], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Knutson worked for Morgan Stanley from November 8, 2013, to March 22, 2023, and for UBS Financial Services Inc. from April 15, 1988, to […]

FINRA barred securities broker John Michael Palma [CRD: 6848651, New York, New York], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Palma worked for Spartan Capital Securities LLC from September 15, 2022, to March 17, 2025, SW Financial from December 10, 2019, to September 14, 2022, and Worden […]

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 […]