Investors reportedly complained about securities broker Brandon Lane Morrow [CRD: 3037943, Irvine, California], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morrow has worked for Emerson Equity LLC since August 4, 2022, and previously worked for Preferred Capital Securities LLC in Atlanta, Georgia, from August 10, 2016, to October 14, […]

FINRA fined securities broker Todd Leightley [CRD: 4409118, Upper Sandusky, Ohio], based on public information on FINRA BrokerCheck. Evidently, Leightley has worked for Northwestern Mutual Investment Services LLC since December 5, 2001, and for the same firm in his investment adviser capacity since April 19, 2006. Read below to discover more about the disclosures involving […]

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 Seyed Ahmad Hashemian [CRD: 1574079, Albuquerque, New Mexico], based on public information found on FINRA BrokerCheck. Evidently, Hashemian joined Centaurus Financial Inc. on October 6, 2009, serving clients through its offices in Santa Ana, California, and Albuquerque, New Mexico. Keep reading to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations due to securities broker Vincent Jerome Camarda [CRD: 2463703, Massapequa, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Camarda worked for American Portfolios Financial Services Inc. from April 22, 2014, to December 31, 2018, Traderfield Securities Inc. from January 9, 2019, to September 25, […]

One or more investors possibly experienced losses because of securities broker Travis Loren Braulick [CRD: 6716541, New Ulm, Minnesota], based on public information found on FINRA BrokerCheck. Braulick joined Calton Associates Inc. on August 29, 2024. Prior to that, he worked for Bankers Life Securities Inc. in Rochester, Minnesota, from April 24, 2019 to September […]

Investors reportedly complained about securities broker Richard John Belz [CRD: 1140219, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Belz joined RF Lafferty Co. Inc. on November 29, 2016, and continues to work with the firm at its Wall Street office. Read below to know more about the pending […]

Investors apparently complained about securities broker Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the […]

One or more investors potentially experienced sales practice violations because of securities broker Samuel Starr (also known as Sam Starr) [CRD: 1893387, Hyannis, Massachusetts], based on publicly available information reported on FINRA BrokerCheck. Samuel Starr worked for UBS Financial Services Inc. from June 12, 2008, to January 11, 2019, and has worked with Wells Fargo […]