Investors potentially experienced sales practice violations by securities broker Matthew Robert Vance [CRD: 6446455, Manchester, Missouri], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Vance worked for Moloney Securities Co. Inc. from April 6, 2015, to September 20, 2021. Investors should continue reviewing the information below to discover more about […]

Investors apparently complained about securities broker John James Pescatore [CRD: 2183696, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Pescatore worked for Oppenheimer Co. Inc. from January 9, 2006, to October 31, 2025, and later registered with Ameriprise Financial Services LLC beginning October 27, 2025, as a broker and […]

Investors potentially experienced sales practice violations by securities broker Nathan Goad (also known as Nate Goad) [CRD: 5421740, Wayne, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goad worked for J. Alden Associates Inc. beginning January 7, 2022, and has also been registered as an investment adviser with Alden Investment Group […]

Investors have reportedly disputed the sales practices of securities broker Trawnegan Gall [CRD: 6266415, Richmond, Virginia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gall worked for Sandlapper Securities LLC from November 20, 2013, to March 22, 2019, Cabot Lodge Securities LLC from March 21, 2019, to November 1, 2019, and […]

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 […]

Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue […]

Investors potentially incurred losses because of securities broker Christopher Michael Dukes (also known as Chris Dukes) [CRD: 4712873, Westlake Village, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Dukes worked for WestPark Capital Inc. beginning November 14, 2017, and previously worked for Delta Investment Management LLC from November 1, 2018, to […]

FINRA barred securities broker Raymond William Clark [CRD: 2865619, Red Bank, New Jersey], and one or more investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clark worked for Garden State Securities Inc. from November 8, 2019, to March 24, 2021, Monmouth Capital Management LLC from March 23, 2021, […]

Investors potentially experienced sales practice violations by securities broker Jason Bryce Vanclef [CRD: 5096529, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Vanclef worked for Westpark Capital Inc. from October 9, 2017, to January 27, 2020, and later associated with Delta Investment Management LLC from November 26, 2018, to […]