Investors potentially experienced sales practice violations because of securities broker Jeffrey Steinberg (also known as Jeff Steinberg) [CRD: 2610793, Port Saint Lucie, Florida], according to disclosures through FINRA’s BrokerCheck. Steinberg has been registered with Avantax Investment Services Inc. since October 25, 2019; Avantax Planning Partners Inc. since June 29, 2022; and Avantax Advisory Services since […]

Investors potentially experienced sales practice violations because of securities broker Jessica Healy [CRD: 6589558, Chicago, Illinois], based on disclosures through FINRA’s BrokerCheck. Evidently, Healy worked for Metropolitan Capital Investment Banc Inc. from February 16, 2016, to December 20, 2023. Below, you can discover more about the securities broker’s disclosures and what they may mean for […]

Investors potentially experienced sales practice violations because of securities broker Richard Kevin Kubiak [CRD: 2856073, Clarence Center, New York], based on disclosures through FINRA’s BrokerCheck. Kubiak has been registered with Ameriprise Financial Services LLC at its Cheektowaga, New York location since February 24, 1997, and at the firm’s Clarence Center, New York location since June […]

If you’ve invested in Four Springs Capital Trust and found yourself facing unexpected losses, you’re not alone. This real estate investment trust (REIT) has drawn attention recently for a series of decisions that have left many investors questioning the soundness of the recommendation they received from financial advisors. Withdrawn IPO Plans Four Springs Capital Trust […]

Investors might have sustained losses because of securities broker Shaun B. Floresca [CRD: 4758697, Chicago, Illinois], according to disclosures on FINRA BrokerCheck. Apparently, Shaun Floresca has been registered with LPL Financial LLC since November 12, 2012. Keep reading to learn more about Floresca’s client dispute disclosures and pending arbitration matters. LPL Financial LLC Investor Accused […]

Investors might have sustained losses due to securities broker Jeffrey Patrick Hobert (also known as Jeffrey Hobert) [CRD: 6451659, Newport Beach, California], according to disclosures on FINRA BrokerCheck. It appears that Hobert has been registered with Centaurus Financial Inc. since February 19, 2015. Keep reading to learn more about Hobert’s client disputes and investment-related allegations. […]

Investors apparently complained about securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. It appears that Bush worked for LPL Financial LLC from August 4, 1995, to September 11, 2018, and has been registered with Capital Investment Group Inc. since August 31, 2018, […]

Investors apparently complained about securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto and Vinny Pallitto) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, Vincent Pallitto has been registered with LPL Financial LLC since December 1, 2000, in a broker capacity and since May 31, 2002, as an […]

Investors potentially experienced losses due to securities broker Hermogenes-Gil Patrick Tantoco (also known as Patrick Tantoco or Hermongenes Gil Patrick Tantoco) [CRD: 5249850, Honolulu, Hawaii], according to disclosures on FINRA BrokerCheck. It appears that Tantoco worked for Independent Financial Group LLC until December 2016 and has been registered with Osaic Wealth Inc. since March 8, […]