Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]

Investors apparently complained about securities broker Sonia Maria Attkiss (also known as Sonia Tron) [CRD: 2936806, Westport, Connecticut], based on disclosures on FINRA BrokerCheck. Evidently, Sonia Attkiss has been registered with UBS Financial Services Inc. since November 20, 2015, and works out of the firm’s offices in New York, New York, and Westport, Connecticut. Read […]

Investors reportedly complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hill joined LPL Financial LLC on March 1, 2018, as both a broker and an investment adviser at its West End, North Carolina office. […]

One or more investors possibly experienced losses because of securities broker Helen Susan Rothlein (also known as Helen DiPippo) [CRD: 709040, Boca Raton, Florida], according to public information found on FINRA BrokerCheck. Evidently, Rothlein has worked for Morgan Stanley since June 1, 2009, operating out of its Boca Raton, Florida and New York, New York […]

Investors reportedly complained about securities broker Alejandro Alberto Blanco (also known as Alex Blanco) [CRD: 3146376, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Blanco worked for MML Investors Services LLC from November 22, 2017, to November 3, 2020. Keep reading to learn more about Blanco’s disclosures and […]

Investors might have sustained losses through securities broker James Richard Sophia Jr. [CRD: 3222645, Shaker Heights, Ohio], based on disclosures on FINRA BrokerCheck. Evidently, Sophia worked for Vanderbilt Securities LLC from January 10, 2025, to March 19, 2025, and for Morgan Stanley from January 18, 2019, to January 28, 2025. Keep reading to find out […]

Investors might have sustained losses due to securities broker Anthony Steven Martinelli [CRD: 2590758, Berwyn, Pennsylvania], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Martinelli joined LPL Financial LLC on June 13, 2014, and Jacobi Capital Management LLC on June 13, 2014. Read on to know more about […]

Investors may have incurred losses because of securities broker Michael Alan Robertson [CRD: 1634076, Greensboro, North Carolina], based on public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Robertson worked for Morgan Stanley from June 1, 2009 to January 9, 2025. See the following information to find out more about the securities broker’s […]

Investors might have sustained losses because of securities broker Virginia Kimiye Panjvani (also known as Virginia Kimiye Kuwahara) [CRD: 833818, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Panjvani worked for Stifel, Nicolaus & Company, Incorporated from September 5, 2018, to the present. See the following information to find out […]