Investors apparently complained about securities broker David Kristopher Griffith [CRD: 3072664, Utica, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffith has been registered with LifeMark Securities Corp. since May 12, 2015, and has also been registered with LifeMark Securities Corp. as a financial advisor since October 2, 2015. […]

Investors apparently complained about securities broker Robert Ronald Obraitis [CRD: 2124486, Lansdowne, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Obraitis worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from February 21, 2014, to April 17, 2025, and has been registered with Summit Financial LLC since April 15, […]

Investors might have sustained losses due to securities broker Joshua David Chapin [CRD: 5825638, Corona Del Mar, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chapin has been registered with Emerson Equity LLC as a securities broker since November 12, 2015, and as a financial advisor since November 13, 2015. […]

Investors apparently complained about securities broker Aaron Pierce Sevigny [CRD: 4314368, Bonita Springs, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sevigny has been registered with United Planners Financial Services of America (United Planners) as a securities broker since August 21, 2006, and as a financial advisor since August 25, […]

Investors apparently complained about securities broker Ehud Gersten (also known as Gersten Ehud) [CRD: 7066119, Ann Arbor, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gersten has been registered with Concorde Investment Services LLC since August 19, 2025, and previously worked for Concorde Asset Management LLC from August 19, 2025, […]

Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June […]

Investors apparently complained about securities broker Michael Robert Dandrea [CRD: 5919930, Melville, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Dandrea worked for Sovereign Global Advisors LLC from September 13, 2016, to February 23, 2024, and is currently registered with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from […]

Investors might have sustained losses due to securities broker James Dwight McPherson (also known as Jay McPherson) [CRD: 5918462, San Mateo, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson worked for Emerson Equity LLC beginning on February 18, 2021, and previously worked for Great Point Capital LLC from February […]