Investors apparently complained about securities broker Alain Alberto Ohayon (also known as Allen Alberto Ohayon) [CRD: 1180975, Melville, New York], based on publicly available information FINRA BrokerCheck. Evidently, Ohayon has been registered with Aegis Capital Corp. since September 17, 2013. Read on to discover more about the disclosures involving this broker. Aegis Capital Corp. Investor […]

Investors reportedly complained about securities broker Michael Alexander Lackwood Jr. [CRD: 4742917, Rockaway, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Lackwood worked for Oppenheimer Co. Inc. from September 6, 2011, to July 12, 2018, and APW Capital Inc. from August 10, 2018, to April 30, 2020. Read on to discover more about the […]

Investors potentially experienced sales practice violations due to securities broker Alan Bartlett Harrison (also known as Bart Harrison) [CRD: 1616987, Trussville, Alabama], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrison has been registered with Concorde Investment Services LLC since May 6, 2015. Read on to discover more about Harrison’s disclosures […]

FINRA sanctioned securities broker Phillip Curtis Anderson [CRD: 814936, Roseville, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anderson worked for Kingswood Capital Partners LLC from June 15, 2018, to June 30, 2023, and Niagara International Capital Limited from March 24, 2017, to June 15, […]

Investors might have sustained losses due to securities broker Alan Levine [CRD: 3114259, Ashland, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Levine has worked for LPL Financial LLC since May 1, 2025, after previously working with Grove Point Advisors LLC from April 1, 2021, to May 1, 2025, and Grove […]

One or more investors possibly experienced losses because of securities broker Calvin James Heck [CRD: 1025767, Everett, Washington], based on public information found on FINRA BrokerCheck. Evidently, Heck has worked for Wedbush Securities Inc. in Los Angeles, California, since June 27, 2003, and in its Everett, Washington, office since June 11, 2020. Read on to […]

Investors reportedly complained about securities broker Chi Chui Mak [CRD: 5045071, Brooklyn, New York], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mak has worked with TD Private Client Wealth LLC since June 28, 2023, at both its New York, New York, and Brooklyn, New York, offices. Previously, Mak was employed […]

Investors potentially experienced sales practice violations due to securities broker Ralph Vallega Ganchero [CRD: 2601660, Westminster, California], based on public information on FINRA BrokerCheck. Evidently, Ganchero has worked for Citigroup Global Markets Inc. in West Hollywood, California, since January 13, 2016, working in the firm’s CWM Retail Sales division. Read below to learn more about […]

Investors apparently complained about securities broker Carl Anthony Demarco Jr. [CRD: 2671924, Tinton Falls, New Jersey], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Demarco has worked for Hornor Townsend Kent LLC since January 11, 2002, as a broker, and since July 31, 2002, as an investment adviser. Keep […]