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 […]

Investors have reportedly disputed the sales practices of securities broker Jan Peter Cummins [CRD: 718836, Radnor, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jan Cummins worked for Janney Montgomery Scott LLC from January 17, 2003, to the present as a securities broker and from August 8, 2005, to the present […]

Investors might have suffered losses due to financial advisor Curt Robert Stauffer [CRD: 2615431, Lancaster, Pennsylvania], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curt Stauffer worked for Coastal Investment Advisors from December 9, 2011, to September 23, 2020, and has worked for CS Planning Corp. (also known as Realta […]

Investors might have sustained losses due to financial advisor Brandon Wesley Hanna [CRD: 6758707, Overland Park, Kansas], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brandon Hanna worked for Creative Planning from April 24, 2017, to September 27, 2023. Read on to learn more about the disclosures involving Hanna. Creative Planning Investor […]

Investors might have suffered losses due to securities broker Edward Walter Morrissey [CRD: 1873249, Pittsburgh, Pennsylvania], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Morrissey worked for Hornor, Townsend Kent LLC from December 1, 2022, to the present as a securities broker and since August 24, 2023, as a […]

Investors apparently complained about securities broker Richard Phillip Anthony [CRD: 1811812, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Anthony worked for Oppenheimer Co. Inc. from December 13, 2019, to August 12, 2022, and again from May 14, 2024, to February 13, 2026. See the […]