Investors potentially experienced sales practice violations by securities broker Dimitrios Kosmo Michelis [CRD: 2920152, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Michelis worked for UBS Financial Services Inc. from June 24, 2011, to September 10, 2025. Read on to discover more about Michelis’s […]

Investors apparently complained about securities broker Stephanie Renee Hughes [CRD: 6563274, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hughes worked for Securian Financial Services Inc. from December 24, 2015, to August 10, 2023, and for Cetera Advisor Networks LLC from August 10, 2023, to June […]

Investors potentially incurred losses because of securities broker Vanessa A. Sopke (also known as Vanessa A. Gerlach) [CRD: 4967464, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sopke worked for Cetera Investment Services LLC from October 1, 2015, to August 3, 2022. Keep reading to find out more […]

Investors potentially experienced sales practice violations by securities broker Brian Earl Watson [CRD: 3181953, Gainesville, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Watson worked for Valmark Securities Inc. from February 24, 1999, to February 28, 2025, and he has additionally served as an advisor and partner at Koss […]

Investors potentially incurred losses because of securities broker William Lefkowitz [CRD: 1170503, Livingston, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lefkowitz worked for National Securities Corporation from November 17, 2012, to July 22, 2022, and later joined B. Riley Wealth Management on July 22, 2022, where he remains registered. Readers […]

Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]

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 Michael Anthony Tannery [CRD: 1538345, Richardson, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Tannery worked for Independent Financial Group LLC as a broker beginning May 31, 2013, and as an investment adviser beginning June 12, 2013. Investors should keep reading to […]