Investors have reportedly disputed the sales practices of securities broker Ashley Charles Woodard [CRD: 4703144, Greenville, South Carolina], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Woodard worked for NYLIFE Securities LLC from December 21, 2017, to October 28, 2020; IFS Securities from February 15, 2017, to November 13, 2017; and […]

Investors possibly experienced sales practice violations by securities broker Paul Michael Weinberger [CRD: 2757427, Clearwater, Florida], based on publicly available information on FINRA BrokerCheck. Evidently, Weinberger has worked for Cetera Financial Specialists LLC since February 5, 2021, and for Cetera Investment Advisers LLC since February 26, 2021. Previously, he was registered with National Asset Management […]

Investors apparently complained about securities broker Shaun Joseph Grimaldi [CRD: 4529021, Red Bank, New Jersey], based on public information on FINRA BrokerCheck. Evidently, Grimaldi has been registered with Garden State Securities Inc. since August 2, 2024. He previously worked for J.H. Darbie Co. Inc. from May 9, 2024, to August 2, 2024, and for E1 […]

Investors have reportedly disputed the sales practices of securities broker Paul Thomas Pavelski [CRD: 1843721, Barrington, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Pavelski worked for Landolt Securities Inc. from September 30, 2005, to March 14, 2024, and joined Morgan Stanley in February 2024. See the following summary […]

Investors have reportedly disputed the sales practices of securities broker Angelo Frank Anello [CRD: 2835091, Needham, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anello has been registered with LPL Financial LLC in Needham, Massachusetts, since May 29, 2009, and as an investment adviser with the same firm since June 19, […]

Investors might have sustained losses due to securities broker Seth Andrew Nannini [CRD: 4406510, Boone, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nannini has been registered with Capital Investment Group Inc. since December 8, 2006, and previously served as a registered investment adviser. Read below for details […]

Investors apparently complained about securities broker Mark Elliot Zorn [CRD: 2056837, Addison, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Zorn worked for Kestra Investment Services LLC from January 9, 2007, to June 22, 2022, and later for Cetera Advisor Networks LLC from June 21, 2022, to August 8, 2024. Read on to find out […]

Investors potentially experienced sales practice violations because of securities broker Joe Carroll Doggett [CRD: 1033987, Columbus, Indiana], based on publicly available information on FINRA BrokerCheck. Evidently, Joe Doggett has been registered with Money Concepts Capital Corp since July 21, 2022, and Money Concepts Advisory Service since August 4, 2022. Previously, he worked with Grove Point […]

Investors potentially incurred losses due to securities broker Rodger Drik Thomas (also known as Rod Thomas and Thomas Rod) [CRD: 4010563, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas has been registered with Newbridge Securities Corporation since October 24, 2018, and with NFSG Corporation since October 30, […]