Investors potentially incurred losses because of securities broker Salvadore Robert Salvo [CRD: 409637, Parsippany, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Salvo worked for Purshe Kaplan Sterling Investments beginning on September 19, 2018, and for Summit Financial LLC beginning on January 3, 2019, with earlier employment at […]

Investors apparently complained about securities broker David Christian Waal [CRD: 1226437, Irvine, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Waal worked for Emerson Equity LLC beginning on June 30, 2021, and previously worked for Orchard Securities LLC from May 8, 2020, to October 12, 2020. Keep reading for […]

Investors apparently complained about securities broker John Hubert Chaney [CRD: 44529, Manchester, Missouri], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Chaney worked for Moloney Securities Co. Inc. from October 29, 2015, to December 31, 2023. See below for details about this broker’s disclosures. Moloney Securities Co. Inc. Investor […]

Investors potentially experienced sales practice violations by securities broker Shannon Marie Powers (also known as Shannon Marie Catuogno and Shannon Powers-Solomon) [CRD: 2367198, Ridgefield, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Powers has worked with multiple firms, including Innovation Partners LLC and IP Financial Advisory Services LLC since […]

Investors potentially incurred losses because of securities broker Jonathan Hilton Malinger [CRD: 5201626, Pasadena, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Malinger has been registered with Wedbush Securities Inc. since February 18, 2022. Read below to learn more about Malinger’s disclosures and what they might mean for affected […]

Investors have reportedly disputed the sales practices of securities broker Robert Allen Moore Jr. [CRD: 2051333, Marlton, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Moore worked for J. Alden Associates Inc. from July 6, 2022, and previously for Purshe Kaplan Sterling Investments from October 10, 2016, […]

Investors potentially experienced sales practice violations by securities broker Raymond Noel Garner [CRD: 1489704, Saint Augustine, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garner worked for Lifemark Securities Corp. from November 6, 2018, to July 15, 2020. Read on to find out more about the disclosures involving […]

Investors potentially incurred losses because of securities broker William Lefkowitz [CRD: 1170503, Livingston, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lefkowitz worked for National Securities Corporation from November 17, 2012, to July 22, 2022, and later joined B. Riley Wealth Management on July 22, 2022, where he remains registered. Readers […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]