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February 17, 2025
Jason Netrosio Faces LPL Client Complaint About Unauthorized Trading

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been […]

February 16, 2025
James Hart Facing Allegations of Mismanagement at Raymond James

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Vernon Hart (also known as Vern Hart) [CRD#: 1122114, Carmel, Indiana]. Hart works with Raymond James Associates Inc. as of June 16, 2011. Recent disclosures raise concerns about Hart’s conduct, including allegations of excessive fees and mismanagement of a client’s account. Pending Client […]

February 15, 2025
James Blaszyk Faces Allegations of Unsuitable Recommendations at Wells Fargo

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Cabourne Blaszyk (CRD: 5364851, Boca Raton, Florida). Blaszyk has been registered with Wells Fargo Clearing Services LLC since April 10, 2008, and Wells Fargo Advisors since April 15, 2008. Recent disclosures reveal concerns regarding Blaszyk’s investment recommendations, including a pending client dispute alleging […]

February 14, 2025
Frank Lumpuy Faces Investor Complaint at Kovack Securities Inc.

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Frank Enrique Lumpuy [CRD: 2108307, Miami, Florida]. Lumpuy has worked in the securities industry for over 32 years and was most recently registered with Kovack Securities Inc. from June 2006 to February 2024. Recent disclosures reveal concerns about Lumpuy’s professional conduct, including client disputes, […]

February 8, 2025
Billy Aycock Faces Center Street Client Disputes About Unsuitable Advice

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Billy James Aycock (CRD#: 4069907, Overland Park, Kansas). Aycock has worked in the securities industry for over 23 years, registering with 11 firms throughout his career. He is currently registered with Cabin Securities Inc. and Cabin Advisors LLC since December 13, 2023. Prior to […]

February 7, 2025
Bernell Baker Faces Allegations of Misrepresentation at LPL Financial

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bernell D. Baker (CRD: 5493956, Eagle Mountain, Utah). Baker has been registered with LPL Financial LLC since November 12, 2012. Recent disclosures reveal concerns regarding Baker’s conduct, including allegations of unsuitable investment recommendations and misrepresentation. Client Disputes Alleged Unsuitable Recommendations, Misrepresentation Specifically, on March […]

February 7, 2025
Ayad Saad Involved In Morgan Stanley Client Dispute Alleging Misrepresentation

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

January 27, 2025
Howard Kavinsky Facing Allegations of Misconduct at B. Riley Wealth Management

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Howard Dennis Kavinsky (also known as Howard Kavinsky) [CRD#: 5881623, Chicago, Illinois]. Howard Kavinsky worked for several firms during his 13-year career in the securities industry. He worked for Hornor, Townsend & Kent, Inc. from March 2011 to March 2015, Morgan Stanley from April […]

January 24, 2025
Gaylord Rohloff Facing Allegations of Unsuitability at Western International Securities

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Rohloff (also known as Gaylord Rohloff) [CRD#: 1542216, Westlake Village, California]. Gaylord Rohloff has been employed at Western International Securities, Inc. since May 27, 2008. Western International Securities Client Files Pending Complaint Alleging Unsuitability On July 31, 2024, a client of Western International […]

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