Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]

Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]

Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]

LPL terminated the registration of securities broker Rudy Anguiano [CRD: 5188950, Red Bank, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anguiano worked for LPL Financial LLC in Brea, California, from April 4, 2022, to December 18, 2025, before becoming registered with Alexander Capital LP and Alexander Capital Wealth Management […]

Investors potentially incurred losses because of securities broker Osvaldo Delgado Jr. (also known as Ozzie Delgado) [CRD: 5709747, Williston, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delgado worked for Kovack Securities Inc. from March 9, 2012, to the present and Kovack Advisors Inc. from March 23, 2012, to the present. Read […]

Investors apparently complained about securities broker Joshua William Sievers [CRD: 6927788, Fort Wayne, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sievers worked for Bankers Life Securities Inc. from April 2, 2018, to the present, and Bankers Life Advisory Services Inc. from September 18, 2019, to the present. Investors are encouraged […]

Investors have reportedly disputed the sales practices of securities broker Stephen Edward White (also known as Steve White) [CRD: 3052632, Los Angeles, California], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. White worked for UBS Financial Services Inc. from September 19, 2008, to November 2, 2021, before joining Rockefeller Financial LLC on […]

ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]

MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020.  She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]