Investors have reportedly disputed the sales practices of securities broker Jose Abel Gamez (also known as Joe Gamez) [CRD: 4292479, San Antonio, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jose Gamez worked for Raymond James Financial Services Inc. from April 3, 2017, to July 7, 2025. See the […]

FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

FINRA barred securities broker Michael Patrick Raineri [CRD: 4817558, Seattle, Washington], and an investor complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Raineri worked for Securities America Inc. from November 6, 2020, to April 18, 2023. Read on to find out more about the disclosures involving Raineri. FINRA […]

FINRA barred securities broker Mario L. Martinez [CRD: 6144561, Fort Lauderdale, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez worked for Merrill Lynch from October 23, 2015, to February 5, 2025. Read below to learn more about the disclosures involving Martinez. FINRA Sanctioned Martinez For Failure To Provide Documents […]

One or more investors possibly experienced losses because of securities broker Javier Martin-Riva [CRD: 6706706, Miami, Florida], according to disclosures on FINRA BrokerCheck. Particularly, Javier Martin-Riva joined Bulltick LLC on March 18, 2019, and Bulltick Wealth Management LLC on May 6, 2019. Read the following sections to learn more about the allegations involving this broker […]

Investors reportedly complained about securities broker Hector Francisco Villaescusa [CRD: 4185707, Miami, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Villaescusa joined Bulltick LLC in Miami, Florida on August 1, 2019, and Bulltick Wealth Management LLC in Hermosillo on October 20, 2022. Read on to find out more about the […]

Investors might have sustained losses because of securities broker James W. Maurer [CRD: 4971613, Hauppauge, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Maurer worked for Laidlaw Company (UK) Ltd. from November 13, 2015 to June 6, 2019, before joining Network 1 Financial Securities Inc. on May 21, 2019. […]

Investors reportedly complained about securities broker Hugo Hernandez [CRD: 6446187, El Paso, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hugo Hernandez worked for MML Investors Services LLC from May 9, 2017 to July 31, 2024. Keep reading to find out more about Hernandez’s disclosures, including an investor dispute […]

FINRA barred securities broker Timothy Fleming Jefferson (also known as Tim Jefferson) [CRD: 5004750, Brentwood, Tennessee], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jefferson worked for Aegis Capital Corp. from February 14, 2024 to May 16, 2024, and for Ameriprise Financial Services LLC from August 16, 2013 […]