Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]

Investors might have suffered losses due to financial advisor Curt Robert Stauffer [CRD: 2615431, Lancaster, Pennsylvania], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curt Stauffer worked for Coastal Investment Advisors from December 9, 2011, to September 23, 2020, and has worked for CS Planning Corp. (also known as Realta […]

Investors might have suffered losses due to securities broker Edward Walter Morrissey [CRD: 1873249, Pittsburgh, Pennsylvania], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Morrissey worked for Hornor, Townsend Kent LLC from December 1, 2022, to the present as a securities broker and since August 24, 2023, as a […]

Investors apparently complained about securities broker Joseph John Badolato [CRD: 4769496, Delmar, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Badolato has worked for Key Investment Services LLC since January 12, 2016, as a securities broker and since March 26, 2021, as a financial advisor. Read on to find […]

Investors might have sustained losses due to securities broker William Shyan Chan (also known as Wei Shyan Chan) [CRD: 3103541, Rowland Heights, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Citigroup Global Markets Inc. from March 11, 2011, to the present in Rowland Heights, California. Keep reading to […]

Investors potentially incurred losses because of securities broker Kenneth Joseph Arena (also known as Ken Arena and Kenny Arena) [CRD: 6997, Pompano Beach, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arena worked for Cetera Wealth Services LLC from December 1, 2023, to the present, Cetera Investment Advisers LLC […]

Investors apparently complained about securities broker Andrew Lee Feyerabend [CRD: 5915487, Greenville, Illinois], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Feyerabend has been registered with Berthel, Fisher Company Financial Services Inc. and BFC Planning Inc. since December 5, 2025, after previously working for Moloney Securities Co. Inc. from July 2, 2014, to […]

Investors potentially experienced sales practice violations by securities broker Dan Edward Wagner Jr. [CRD: 2867278, Greenville, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for Triad Advisors LLC from May 19, 2014, to April 5, 2021, and has been registered with Arkadios Capital since April 1, 2021, while also […]

Investors potentially experienced sales practice violations by securities broker Martin S. Berman [CRD: 2406962, Los Angeles, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin Berman worked for Cetera Advisors LLC from September 8, 2022, to the present, Cetera Investment Advisers LLC from November 12, 2020, to the present, and previously for […]