FINRA barred securities broker Michael Richard Rosalia [CRD: 2323953, Melville, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosalia worked with SW Financial from April 5, 2021, until August 29, 2022, before the firm itself was expelled by FINRA in May 2023. Before that, he was employed at Worden […]

Investors reportedly complained about securities broker Alejandro Alberto Blanco (also known as Alex Blanco) [CRD: 3146376, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Blanco worked for MML Investors Services LLC from November 22, 2017, to November 3, 2020. Keep reading to learn more about Blanco’s disclosures and […]

Investors potentially experienced sales practice violations due to securities broker Jerome Anthony Messana [CRD: 712315, Manasquan, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Messana joined Aegis Capital Corp. on September 21, 2021. He worked with Dawson James Securities Inc. from February 9, 2008, to October 12, 2021. Keep reading to learn […]

One or more investors possibly experienced losses because of securities broker Carl Damien Gill [CRD: 1076361, Troy, Michigan], according to disclosures on FINRA BrokerCheck. Evidently, Gill worked for United Planners’ Financial Services of America from November 14, 2011, to December 4, 2015. Keep reading to learn more about Gill’s disclosures and the disputes that investors […]

Investors might have sustained losses through securities broker James Richard Sophia Jr. [CRD: 3222645, Shaker Heights, Ohio], based on disclosures on FINRA BrokerCheck. Evidently, Sophia worked for Vanderbilt Securities LLC from January 10, 2025, to March 19, 2025, and for Morgan Stanley from January 18, 2019, to January 28, 2025. Keep reading to find out […]

Investors reportedly complained about securities broker Seyed Ahmad Hashemian [CRD: 1574079, Albuquerque, New Mexico], based on public information found on FINRA BrokerCheck. Evidently, Hashemian joined Centaurus Financial Inc. on October 6, 2009, serving clients through its offices in Santa Ana, California, and Albuquerque, New Mexico. Keep reading to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations due to securities broker Burton William Bartlett II [CRD: 1038728, Mequon, Wisconsin], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bartlett worked for Landolt Securities Inc. from May 14, 2021, to June 6, 2024, and Worden Capital Management LLC from April 7, 2014, to […]

Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

Investors reportedly complained about securities broker Dennis Michael Haywood II (also known as Denny Haywood) [CRD: 5850275, Land O’ Lakes, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Haywood worked for Crown Capital Securities, L.P. from March 18, 2013, to January 5, 2022. Keep reading to find out more about Haywood’s disclosures and the disputes […]