Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]

Investors might have sustained losses due to securities broker Eugene Boyd Thomas (also known as Gene Thomas) [CRD: 2065557, Lexington, Oklahoma], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas has worked for MML Investors Services LLC as a broker and investment adviser since March 25, 2017. Investors should continue reviewing this […]

Investors potentially incurred losses because of securities broker Gregory Jonathan Ritter (also known as Gregory John Ritter) [CRD: 3087358, Delaware, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Ritter worked for Emerson Equity LLC beginning June 8, 2010, as a broker and has also been registered with the firm as an […]

Investors have reportedly disputed the sales practices of securities broker Michael J. Francisco [CRD: 5095879, Mount Laurel, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Francisco has worked for Raymond James Associates Inc. as a broker since January 27, 2017, and as an investment adviser representative since February 2, […]

Investors potentially experienced sales practice violations by securities broker Timothy Darragh [CRD: 1897635, Chicago, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Darragh has worked for Stifel Nicolaus since February 25, 2016. Investors can see below to find out more about the disclosures involving this securities broker. Stifel Nicolaus Investor […]

Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this […]

Investors potentially experienced sales practice violations by securities broker Nader M. Gandevani (also known as Ned Gandevani) [CRD: 2770412, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gandevani worked for WestPark Capital Inc. from June 13, 2018, to March 6, 2020; Moloney Securities Co. Inc. from March 5, 2020, […]

Investors potentially incurred losses because of securities broker Donald Edward Wallace [CRD: 1471984, Fort Lauderdale, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wallace worked for D.H. Hill Securities, LLLP from May 16, 2017, to October 5, 2023. Investors should continue reading to learn more about Wallace’s client dispute disclosures. […]

Investors might have sustained losses due to securities broker Jade Eagles [CRD: 5939276, Los Angeles, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eagles worked for TIAA-CREF Individual Institutional Services LLC from October 12, 2016, to November 13, 2020, and later became associated with The Wealthgarden F.S. LLC beginning January 1, […]