FINRA barred securities broker Anthony Tianfeng Cheng (also known as Tony Cheng) [CRD: 6242405, San Jose, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Cheng worked for Ameritas Investment Company LLC from April 2, 2015, to May 22, 2025. Keep reading to discover more about the regulatory disclosure involving […]

FINRA barred securities broker Jeyakumar Nadarajah (also known as Jack Nadarajah) [CRD: 5666532, New York, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeyakumar Nadarajah worked for Jefferies LLC from June 10, 2020, to May 16, 2024, and previously worked for ViewTrade Securities Inc. from January 28, 2020, to […]

FINRA barred securities broker Cesar Manuel Casado [CRD: 6215747, Waltham, Massachusetts], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Casado worked for NYLIFE Securities LLC from November 4, 2014, to July 24, 2024. Investors are encouraged to continue reading to find out more about Casado’s regulatory history and disclosures. Casado Sanctioned […]

FINRA barred securities broker Raymond William Clark [CRD: 2865619, Red Bank, New Jersey], and one or more investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clark worked for Garden State Securities Inc. from November 8, 2019, to March 24, 2021, Monmouth Capital Management LLC from March 23, 2021, […]

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors […]

FINRA barred securities broker Anthony Richard Bottini III (also known as Rick Bottini) [CRD: 5567091, New York, New York], and investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Bottini worked for Merrill Lynch from July 22, 2011, to May 22, 2025. Investors should continue reading to find […]

Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out […]

FINRA barred securities broker Harry Harper Warnick [CRD: 6916323, New York, New York], according to public information on FINRA BrokerCheck. Evidently, Warnick worked for Spartan Capital Securities LLC from December 13, 2022, to September 12, 2024. Read below to discover more about the disclosures involving Warnick. FINRA Barred Warnick For Failure To Comply With Investigation […]

FINRA barred securities broker Anthony George Saab (also known as AG Saab) [CRD: 408501, Dallas, Texas], and an investor complained about him, according to public information on FINRA BrokerCheck. Evidently, Saab worked for The Fig Group LLC from June 9, 2005, to November 1, 2022, and later for Sunbelt Securities Inc. from September 9, 2022, […]