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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Walter Frank Squires Jr. [CRD: 1955992, Derby, Connecticut]. Squires worked for LPL Financial LLC from 2011 to 2020 and Osaic Institutions Inc. from 2020 to 2024. Recent complaints allege that Squires engaged in unsuitable investment recommendations during his time at the firm. Read on […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Scott Eugene Buck [CRD: 1374445, Stow, Ohio]. Buck has worked for LPL Financial LLC since September 10, 2008. Keep reading to learn more about a recent regulatory action involving this broker. FINRA Sanctions Scott Buck for Unauthorized Trading Evidently, on July 22, 2024, FINRA […]

SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]