Investors potentially incurred losses because of securities broker Robert Lewis Moon [CRD: 2431875, Bethesda, Maryland], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Moon worked for Merrill Lynch from August 29, 2008, to November 6, 2023, and later registered with Rockefeller Financial LLC and Rockefeller Capital Management beginning November 3, 2023. […]

Investors apparently complained about securities broker Phillip Wayne Jones [CRD: 2445213, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for Merrill Lynch beginning on February 1, 1994, as a broker, and has also been registered with the firm as an investment adviser since February 23, 1994. Investors should continue […]

Investors have reportedly disputed the sales practices of securities broker Antonio Pedro Da Roza (also known as Antonio Daroza and Tony Daroza) [CRD: 2087563, Capitola, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Da Roza has worked for Merrill Lynch since September 16, 2011. Keep reading to find out more about […]

Investors apparently complained about securities broker Vincent Thomas Ferrara Jr. [CRD: 1791902, Garden City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Ferrara worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 6, 2008, to February 22, 2024, and has been registered with Ameriprise Financial Services LLC […]

Investors might have sustained losses because of securities broker Bryce J. Jones [CRD: 6361728, Washington, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jones worked for Independent Financial Group LLC beginning on October 13, 2022, and previously worked for Merrill Lynch Pierce Fenner Smith Incorporated from August 19, […]

FINRA barred securities broker Anthony Richard Bottini III (also known as Rick Bottini) [CRD: 5567091, New York, New York], and investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Bottini worked for Merrill Lynch from July 22, 2011, to May 22, 2025. Investors should continue reading to find […]

Investors might have sustained losses due to securities broker Stephen Marchelo Medina [CRD: 2614773, Corpus Christi, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Medina worked for Merrill Lynch beginning May 16, 1995, as a broker and beginning July 17, 1995, as an investment adviser. Investors should continue reviewing this […]

Investors apparently complained about securities broker Lino J. Gutierrez (also known as Joe Gutierrez and Lino M. Gutierrez) [CRD: 5527598, Stuart, Florida], according to public information on FINRA BrokerCheck. Evidently, Gutierrez worked for Merrill Lynch from June 29, 2017, to May 1, 2025, and for Wells Fargo Clearing Services LLC from August 9, 2013, to […]

Investors apparently complained about securities broker Kevin Michael Dery [CRD: 2807430, Fort Lauderdale, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Dery has been registered with Wells Fargo Advisors Financial Network LLC and Wells Fargo Advisors since March 3, 2022, both located in Fort Lauderdale, Florida. Previously, Dery worked for Merrill Lynch in […]