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 potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]

Investors potentially experienced sales practice violations by securities broker Nathan Goad (also known as Nate Goad) [CRD: 5421740, Wayne, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goad worked for J. Alden Associates Inc. beginning January 7, 2022, and has also been registered as an investment adviser with Alden Investment Group […]

Investors have reportedly disputed the sales practices of securities broker Trawnegan Gall [CRD: 6266415, Richmond, Virginia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gall worked for Sandlapper Securities LLC from November 20, 2013, to March 22, 2019, Cabot Lodge Securities LLC from March 21, 2019, to November 1, 2019, and […]

Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue […]

Investors potentially experienced sales practice violations by securities broker Garth James Lurvey [CRD: 4729301, Winter Park, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garth Lurvey worked for LPL Financial LLC from December 15, 2016, to March 17, 2022, and later for Private Client Services LLC from March 14, 2022, […]

Investors apparently complained about securities broker Michael Joseph Kane III [CRD: 5099883, Sherman, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kane worked for Hilltop Securities Inc. from August 21, 2020, to June 13, 2023, Momentum Independent Network Inc. from May 1, 2023, to September 4, 2025, and LPL Financial LLC beginning […]

Investors potentially experienced sales practice violations by securities broker William Langston Laury Jr. [CRD: 5081969, Radnor, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laury worked for Northwestern Mutual Investment Services LLC from April 19, 2016, to August 1, 2025, and later registered with MML Investors Services LLC beginning in August […]

Investors might have sustained losses due to securities broker Bryan Preston Lubitz [CRD: 4381244, Melville, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lubitz worked for Aegis Capital Corp. from August 31, 2015, to December 20, 2022, and has been registered with Equitable Advisors LLC since December 20, 2022. Keep reading […]