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 […]

Investors potentially incurred losses because of securities broker Eugene Lee Webb (also known as Gene Webb) [CRD: 1851855, Portland, Oregon], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb has worked for Paulson Investment Company LLC from June 3, 2016, to present. Keep reading to discover more about the disclosures involving […]

Investors apparently complained about securities broker John Peter Purcell [CRD: 1664678, Albany, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Purcell has been registered with Purshe Kaplan Sterling Investments since April 15, 1994. Investors should continue reviewing this article to discover more about the disclosures involving this individual. Purshe Kaplan […]

Investors potentially experienced sales practice violations by securities broker Steve Howard Orr (also known as Steven Orr) [CRD: 1583467, Victoria, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Orr worked for Grove Point Investments LLC from April 25, 2011, to May 1, 2025, and Grove Point Advisors LLC from April […]

Investors potentially incurred losses because of securities broker Cheryl Lynn Kitashima [CRD: 729389, Seattle, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kitashima has been registered with Centaurus Financial Inc. since June 20, 2005, where she has worked as both a broker and an investment adviser. Investors can see below to discover […]