Investors might have suffered losses due to securities broker N. David Hoover (also known as Dave Hoover) [CRD: 1722534, Moraga, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Hoover worked for Stifel Nicolaus from May 28, 2014, to the present. Investors are encouraged to continue reading to discover more about […]

Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]

Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

Investors potentially incurred losses because of securities broker Stephen Glover Parks [CRD: 5074732, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Parks worked for Skystone Securities LLC from June 12, 2020, to December 24, 2025. See below to discover more about the disclosures involving Stephen Parks. FINRA Sanctioned Parks For […]

Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more […]

Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]

Investors apparently complained about securities broker Raymond Samuel Byers [CRD: 2590926, Mishawaka, Indiana], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raymond Byers has worked for UBS Financial Services Inc. since January 29, 2009. Read on to discover more about the disclosures involving Raymond Byers. UBS Investor Accused Byers Of Unsuitable Advice […]

Investors apparently complained about securities broker Zvi Yehuda Rosenzweig (also known as Yudi Rosenzweig) [CRD: 4110421, Southfield, Michigan], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zvi Rosenzweig has been registered with LPL Financial LLC since September 29, 2025, and previously worked for MML Investors Services LLC. See the following information to […]