Investors apparently complained about securities broker H. Todd Roggen (also known as T. Todd Roggen) [CRD: 721463, Houston, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Roggen worked for Raymond James Financial Services Inc. from June 23, 2010, to November 1, 2024. Keep reading to discover more about […]

Investors have reportedly disputed the sales practices of securities broker Gregory Norman Grajek (also known as Greg Grajek) [CRD: 1220268, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grajek worked for UBS Financial Services Inc. from December 17, 2008, to December 31, 2024. Read below to […]

Investors potentially incurred losses because of securities broker Ting Kuo Chen (also known as Daniel Chen and Tingkuo Chen) [CRD: 2394916, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Chen worked for Landolt Securities Inc. beginning on November 17, 2017, and for TKC Wealth Management LLC […]

Investors potentially experienced sales practice violations by securities broker Robert Randolph Lott (also known as Randy Lott) [CRD: 712795, Birmingham, Alabama], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lott worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning on May 27, 2020, and […]

Investors apparently complained about securities broker Timothy Revell Roberson (also known as Tim Roberson) [CRD: 2200567, Brentwood, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roberson worked for Merrill Lynch from January 23, 1992, to October 23, 2024, and later joined Stifel Nicolaus on October 21, 2024, where he remains registered. Investors […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]

Investors apparently complained about securities broker Kurt Charles Jackson [CRD: 2913769, Arroyo Grande, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jackson has been registered with Commonwealth Financial Network since October 22, 2015. Read below to discover more about Jackson’s disclosures. Commonwealth Financial Network Investor Accused Jackson […]

Investors potentially experienced sales practice violations by securities broker Sean McCabe [CRD: 5479643, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that McCabe has been registered with Network 1 Financial Securities Inc. since March 9, 2020, and he previously worked for Worden Capital Management LLC from June […]

Investors potentially incurred losses because of securities broker Andrew Zigouras (also known as Andreas Zigouras and Andy Zigouras) [CRD: 1248597, Teaneck, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Zigouras has been registered with Concorde Investment Services LLC since October 15, 2015. Read on to learn more about […]