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 […]

Investors may have incurred losses because of securities broker Annette Jensen (also known as Annette Karnaze) [CRD: 6372668, Titusville, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jensen has worked with Edward Jones as a broker since January 29, 2024, and as an investment adviser since March 12, 2024. Below, you can […]

Investors might have sustained losses because of securities broker Pamela Jean Tipton (also known as Pamela Jean Dahl, Pamela Jean Letbetter, and Pamela Jean Rogers) [CRD: 5967109, Montgomery, Texas], according to publicly available information reported on FINRA BrokerCheck. Tipton has worked with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc., both […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Lane Werdesheim (also known as Jeffrey Lanne Werdesheim) [CRD: 1892046, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werdesheim has worked for Oppenheimer Co. Inc. since January 3, 2003, in Los Angeles, and works for their Westlake Village, […]

Investors potentially experienced sales practice violations because of securities broker Kurt Edward Stahl [CRD: 1890827, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurt Stahl worked for Berthel Fisher Company Financial Services Inc. from November 25, 2014, to March 23, 2017, and has been registered as an investment adviser with […]

Investors might have sustained losses due to securities broker Jordan P. Rider [CRD: 5292169, Leawood, Kansas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jordan Rider worked for LPL Financial LLC since December 14, 2010, and more recently for The Wealth Consulting Group since July 14, 2023. He also worked […]

FINRA sanctioned securities broker James Ryan Parascandola [CRD: 2866028, East Brunswick, New Jersey] and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Parascandola worked for Pruco Securities LLC from May 16, 2022, to May 21, 2024, and for Equitable Advisors LLC from December 9, 2020, to May 18, […]