Investors apparently complained about securities broker Rajeswaran Venkatraman (also known as Raj Venkatraman) [CRD: 1383008, Lisle, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raj Venkatraman has worked for Voya Financial Advisors Inc. since January 3, 2011. Investors should review the information below to find out more about disclosures involving […]

Investors might have sustained losses due to securities broker James Daniel Kent Jr. (also known as Jim Kent) [CRD: 2255753, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Kent worked for Emerson Equity LLC from September 29, 2016, to March 1, 2021, in Pinellas Park, Florida, and later from […]

Investors apparently complained about securities broker Phillip Wayne Jones [CRD: 2445213, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for Merrill Lynch beginning on February 1, 1994, as a broker, and has also been registered with the firm as an investment adviser since February 23, 1994. Investors should continue […]

Investors potentially incurred losses because of securities broker Ryan Jonathan Sherer [CRD: 5952617, Reno, Nevada], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Sherer has been registered with Emerson Equity LLC since April 15, 2019, where he has worked as both a broker and an investment adviser. Investors can see below […]

One or more investors possibly experienced losses because of securities broker Michael Jeffrey Rea [CRD: 4768423, Williamsville, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rea has worked for Equitable Advisors LLC since May 15, 2007, as a broker and since May 16, 2008, as an investment adviser. Read below […]

Investors have reportedly disputed the sales practices of securities broker Jeffrey Donald Poosch (also known as Jeff Poosch) [CRD: 2490703, Port Huron, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Poosch worked for Prospera Financial Services Inc. from April 19, 2021, to the present, for Cetera Advisor Networks LLC […]

Investors have reportedly disputed the sales practices of securities broker Peter Sandler [CRD: 2847717, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sandler worked for Dominari Securities LLC beginning on February 29, 2024, and previously worked for Aegis Capital Corp. from August 7, 2017, to […]

Investors apparently complained about securities broker Robert Macaluso [CRD: 1348161, Boca Raton, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Macaluso worked for Stifel Nicolaus Company Incorporated from April 30, 2010, to July 10, 2024. Keep reading to discover more about Macaluso’s disclosures. Stifel Investor Accused Macaluso […]

Investors have reportedly disputed the sales practices of securities broker Michael Geoffrey Minter [CRD: 2989575, Lutz, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Minter has been registered with Lifemark Securities Corp. since September 23, 2009, and as an investment adviser representative with the same firm since August 25, 2021. Read […]