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 […]

Investors potentially experienced sales practice violations due to securities broker David Allen Merrick [CRD: 1542660, The Villages, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Merrick has worked for Edward Jones since March 9, 2016, as a broker and since May 23, 2016, as an investment adviser. Read on to learn more about […]

Investors apparently complained about securities broker Omar Gomez-Dominguez [CRD: 5905232, Encinitas, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gomez-Dominguez worked for J.P. Morgan Securities LLC from November 1, 2016, to June 11, 2024. Keep reading to find out more about Gomez-Dominguez’s disclosures. J.P. Morgan Securities LLC Investor […]

One or more investors possibly experienced losses because of securities broker Lawrence P. Cagliostro Jr. [CRD: 2605127, Toms River, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Cagliostro has worked for Merrill Lynch since August 1, 2008. Read below to learn more about the disclosures involving this securities broker. Merrill Lynch Investor Accused Cagliostro […]

Investors apparently complained about securities broker Peter Kyung Hoon Rhee (also known as Peter Kyung Moon Rhee) [CRD: 2326728, Frankfort, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rhee has worked with Cetera Advisors LLC since September 8, 2022, and for Cetera Investment Advisers LLC since November 12, […]