One or more investors possibly experienced losses because of securities broker Christopher Adam Knutson [CRD: 2997006, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Knutson joined Aegis Capital Corp. on August 27, 2014, where he continues to work at the firm’s office in Melville, New York. Keep reading to learn more about Knutson’s […]

Investors reportedly complained about securities broker Adam Marquardt [CRD: 5307192, Rochester, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Marquardt worked for Cetera Advisors LLC from August 7, 2020, to July 21, 2022, and Wells Fargo Advisors Financial Network LLC from April 23, 2010, to August 21, 2020. Keep reading to learn more […]

One or more investors possibly experienced losses because of securities broker Michele George Savarese (also known as Michael Savarese and Mike Savarese) [CRD: 1241811, San Diego, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Savarese joined CreativeOne Securities LLC on August 15, 2018. He previously worked with Kestra Advisory […]

One or more investors possibly experienced losses because of securities broker Michael Joseph Norton [CRD: 2617985, Syosset, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norton joined David Lerner Associates Inc. on June 15, 1998. He joined Spirit of America Management Corp on October 28, 2022. Keep reading […]

Investors reportedly complained about securities broker Juliann Fayard Smith (also known as Julie Smith) [CRD: 1338081, Kansas City, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Smith joined Moloney Securities Co. on September 5, 2003. Keep reading to learn more about the disclosures involving this broker. Moloney Securities Investor Accused Julie Smith Of […]

Investors might have sustained losses through securities broker Randall E. Duggan [CRD: 5559097, Bellingham, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Duggan joined Moloney Securities Co. on January 29, 2016, and Moloney Securities Asset Management LLC on February 23, 2016. Keep reading to learn more about the disclosures concerning Randall Duggan. Moloney Securities Investor […]

FINRA barred securities broker Michael Richard Rosalia [CRD: 2323953, Melville, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosalia worked with SW Financial from April 5, 2021, until August 29, 2022, before the firm itself was expelled by FINRA in May 2023. Before that, he was employed at Worden […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]

The State of Maryland and FINRA both sanctioned securities broker Raymond Hill Smith Jr. [CRD: 731506, Macon, Georgia], according to information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith joined Smith Brown Groover Inc. on May 18, 1981, and SBG Wealth Management on February 19, 2003. Continue reading for details about the regulatory disclosures […]