Investors apparently complained about securities broker Dean Patrick McDermott [CRD: 1731834, Bethlehem, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDermott has been associated with McDermott Investment Advisors LLC since September 24, 2004. He has also been with McDermott Investment Services LLC since May 19, 2011. Investors are encouraged to continue reading […]

Investors potentially experienced sales practice violations by securities broker Raffi Robert Vartanian (also known as Ralph Robert Vartanian) [CRD: 2261085, Coral Springs, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vartanian worked for Morgan Stanley from September 8, 2023, to April 29, 2026, and previously worked for UBS Financial Services Inc. […]

Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]

Investors potentially incurred losses because of securities broker Leslie D. Sprockett [CRD: 2886716, Elgin, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Sprockett worked for WRP Investments Inc. from June 11, 1997, to September 12, 2014, and has worked for StoneX Securities Inc. since September 12, 2014. Investors are […]

Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]

Investors might have suffered losses due to securities broker N. David Hoover (also known as Dave Hoover) [CRD: 1722534, Moraga, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Hoover worked for Stifel Nicolaus from May 28, 2014, to the present. Investors are encouraged to continue reading to discover more about […]

Investors apparently complained about securities broker Anthony Sica [CRD: 1332626, New York, New York], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Sica worked for Joseph Gunnar Co. LLC from October 31, 2003, to June 21, 2024. Read on to discover more about disclosures involving Sica, including regulatory actions and client […]

Investors have reportedly disputed the sales practices of securities broker Laurence Heimburg Knowlton [CRD: 1383052, Rye Beach, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laurence Knowlton worked for Rockefeller Financial LLC beginning May 14, 2021, and Rockefeller Capital Management beginning November 12, 2021. Keep reading to find out more […]

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 […]