Investors may have incurred losses due to securities broker Edward Alfred Baroncini Jr. [CRD: 3043354, Bradenton, Florida], based on publicly available information found on FINRA BrokerCheck. Edward Baroncini joined LPL Financial LLC on December 11, 2014, and Excel Wealth Management LLC on January 28, 2019. See the following information to find out more about the […]

Investors might have sustained losses due to securities broker Mark Norman Miller [CRD: 1142801, White Bear Lake, Minnesota], based on publicly available information reported on FINRA BrokerCheck. Mark Miller has worked with LPL Financial LLC since February 8, 2010, and has also served as an investment adviser with the same firm since April 26, 2011. […]

Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to […]

Investors might have sustained losses due to securities broker Jordan P. Rider [CRD: 5292169, Leawood, Kansas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jordan Rider worked for LPL Financial LLC since December 14, 2010, and more recently for The Wealth Consulting Group since July 14, 2023. He also worked […]

Investors potentially experienced sales practice violations due to securities broker Michael Joseph Hirthler (also known as Joe Hirthler) [CRD: 1370229, Pittston, Pennsylvania], according to publicly available information through FINRA’s BrokerCheck. Evidently, Hirthler registered with LPL Financial LLC since November 11, 1993, and with Jacobi Capital Management LLC since May 14, 2009. Below, you can discover […]

Investors might have sustained losses because of securities broker Shaun B. Floresca [CRD: 4758697, Chicago, Illinois], according to disclosures on FINRA BrokerCheck. Apparently, Shaun Floresca has been registered with LPL Financial LLC since November 12, 2012. Keep reading to learn more about Floresca’s client dispute disclosures and pending arbitration matters. LPL Financial LLC Investor Accused […]

Investors apparently complained about securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. It appears that Bush worked for LPL Financial LLC from August 4, 1995, to September 11, 2018, and has been registered with Capital Investment Group Inc. since August 31, 2018, […]

Investors apparently complained about securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto and Vinny Pallitto) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, Vincent Pallitto has been registered with LPL Financial LLC since December 1, 2000, in a broker capacity and since May 31, 2002, as an […]

Investors might have received losses because of securities broker Christopher Carl Cavallaro [CRD: 2125009, Lighthouse Point, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Cavallaro has worked for LPL Financial LLC since October 7, 2016, and Integrated Wealth Concepts LLC since October 17, 2016. Here’s more about Cavallaro’s disclosures. LPL Financial LLC […]