Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]

Investors have reportedly disputed the sales practices of securities broker Buddy Dean Mason [CRD: 1721391, Lakeland, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Buddy Mason worked for LPL Financial LLC from August 29, 2019, to January 29, 2026. See the following information to find out more about disclosures involving Buddy […]

Investors might have suffered losses due to securities broker Edward Walter Morrissey [CRD: 1873249, Pittsburgh, Pennsylvania], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Morrissey worked for Hornor, Townsend Kent LLC from December 1, 2022, to the present as a securities broker and since August 24, 2023, as a […]

Investors have reportedly disputed the sales practices of securities broker Paz Maria Chandra (also known as Paz Porter and Paz Salvarani) [CRD: 2405701, Dunedin, Florida], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chandra has worked for Osaic Wealth Inc. since November 2, 2018, as both a broker and investment adviser. See […]

Investors apparently complained about securities broker Richard Francis Simonitis Jr. [CRD: 2263459, North Royalton, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Simonitis has been registered with LPL Financial LLC since February 26, 2007, as a broker and since February 27, 2007, as a financial advisor. See the following information to […]

Investors might have sustained losses due to securities broker Tammy Tenney Paquette (also known as Tammy G. Tenney) [CRD: 5110668, Tucson, Arizona], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tammy Paquette worked for LPL Financial LLC from April 19, 2012, to the present, and was also registered as a […]

Investors potentially experienced sales practice violations by securities broker William Paul Czaplewski (also known as Bill Czaplewski and Billy Czaplewski) [CRD: 2386057, Monona, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Czaplewski worked for LPL Financial LLC from October 3, 1994, to the present as a broker and from January […]

Investors who were sold private credit funds by FINRA-registered broker-dealers may have sustained significant losses as redemption restrictions, declining net asset values (NAV), and liquidity problems continue to surface across several major products. Broker-dealers including LPL Financial, Ameriprise Financial, Osaic, and Cetera Financial Group have been among the distribution channels for these products. These funds […]

Investors might have sustained losses due to securities broker David Jon Nastri [CRD: 5178144, Cheshire, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nastri has worked for LPL Financial LLC as a registered broker since October 11, 2011, and he has been registered with LPL Financial LLC as a financial […]