Investors potentially experienced sales practice violations by securities broker Daniel Simon Pikula (also known as Dan Pikula) [CRD: 2563165, Wellington, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pikula has been registered with Emerson Equity LLC since April 18, 2018, and with Money Manager Inc. since June […]

Investors might have sustained losses because of securities broker Cheryl Diane Richardson (also known as Cheryl Diane Johnson) [CRD: 1807190, Freeport, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richardson worked for MML Investors Services LLC beginning on March 25, 2017, and previously worked for MSI Financial Services […]

Investors potentially incurred losses because of securities broker George Reynolds Howard III [CRD: 2958866, Germantown, Tennessee], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Howard worked for Centaurus Financial Inc. beginning May 15, 2018, as a broker and May 17, 2018, as an investment adviser; before that, he was […]

Investors might have sustained losses because of securities broker John Edmond Tryon [CRD: 1593231, Troy, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Tryon has been registered with Centaurus Financial Inc. as a broker since April 1, 2005, and as an investment adviser since April 23, 2013. […]

Investors potentially experienced sales practice violations by securities broker Deborah Sue Anderson (also known as Deborah Sue Beemer) [CRD: 1795405, Redlands, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson worked for Centaurus Financial Inc. from April 17, 2006, to June 5, 2020, and later for LPL Financial […]

Investors apparently complained about securities broker Joyce An Thomas (also known as Cho Ching An) [CRD: 2713664, Diamond Bar, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Thomas has worked for Independent Financial Group LLC since October 8, 2015. See below to find out more about the disclosures involving […]

Investors potentially incurred losses because of securities broker Gregory John Richards [CRD: 1339012, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richards worked for Kingswood Capital Partners LLC beginning May 19, 2023, and Kingswood Wealth Advisors LLC beginning August 3, 2023, following prior employment with DST […]

Investors might have sustained losses because of securities broker Alan Charles Lowenfels (also known as Charles Alan Lowenfels) [CRD: 4512765, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lowenfels has been registered with David Lerner Associates Inc. since May 2, 2002. Keep reading for details about […]

Investors potentially incurred losses because of securities broker Salvadore Robert Salvo [CRD: 409637, Parsippany, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Salvo worked for Purshe Kaplan Sterling Investments beginning on September 19, 2018, and for Summit Financial LLC beginning on January 3, 2019, with earlier employment at […]