Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]

Investors might have sustained losses due to securities broker Terri Lynn Fassi (also known as Terri Phelps and Terri Wojcicki) [CRD: 2526113, Windsor, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terri Fassi worked for Centaurus Financial Inc. in Windsor, Colorado, beginning January 3, 2007, as a securities broker and beginning April […]

Investors might have sustained losses due to securities broker George Portilla (also known as Jorge Portilla) [CRD: 2222382, Miami Lakes, Florida], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Portilla worked for Equitable Advisors LLC from March 31, 1992, to March 9, 2021. See below to discover more about the disclosures involving […]

Investors have reportedly disputed the sales practices of securities broker Paz Maria Chandra (also known as Paz Porter and Paz Salvarani) [CRD: 2405701, Dunedin, Florida], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chandra has worked for Osaic Wealth Inc. since November 2, 2018, as both a broker and investment adviser. See […]

Investors might have sustained losses due to securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Investors should continue reading to find out more […]

Investors apparently complained about securities broker Taylor Wilson Armstrong [CRD: 6984140, Kirkland, Washington], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Taylor Armstrong worked for Aurora Securities from April 28, 2021, to the present, Secure Asset Management, L.L.C. from May 3, 2021, to the present, Concorde Investment Services LLC from March 31, […]

Investors potentially experienced sales practice violations by securities broker Daniel Coral Goodwin (also known as Dan Goodwin) [CRD: 5752768, The Woodlands, Texas], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goodwin worked for AAG Capital Inc. from March 9, 2022, to June 6, 2024, Great Point Capital LLC from June 3, 2024, […]

Investors potentially experienced sales practice violations by securities broker Dan Edward Wagner Jr. [CRD: 2867278, Greenville, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for Triad Advisors LLC from May 19, 2014, to April 5, 2021, and has been registered with Arkadios Capital since April 1, 2021, while also […]

Investors have reportedly disputed the sales practices of securities broker John Edward Ledford [CRD: 2960837, Orlando, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ledford worked for Ameriprise Financial Services LLC from September 5, 2014, to June 23, 2020, and later joined Fortress Wealth Group LLC in June 2020, where he has […]