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, […]

Investors might have sustained losses because of securities broker Larry Richard Hancock [CRD: 1514911, Federal Way, Washington], according to disclosures on FINRA BrokerCheck. Apparently, Hancock worked for Purshe Kaplan Sterling Investments from December 3, 2010, to January 2, 2020. He currently operates as President of ProActive Retirement Solutions and also serves as an investment adviser […]

Investors reportedly may have incurred losses due to securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto Jr. and Vinny Pallitto Jr.) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Pallitto has worked for LPL Financial LLC since December 1, 2000. Prior to that, he began his registration as […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert James McKee (also known as Bob McKee) (CRD# 1223331) of Michigan City, Indiana. McKee has been registered with LPL Financial LLC since July 30, 2019. Throughout his 40-year career, he has been associated with multiple firms, including SagePoint Financial Inc., Next Financial Group […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker / financial advisor Michael Peter Sloan [CRD: 2178871, St. Charles, Illinois]. Sloan has worked for Wintrust Investments LLC since August 9, 2010. Previously, he worked for Chase Investment Services Corp. between August 2005 and August 2010. Investors have raised concerns regarding his conduct, alleging […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning securities broker Juan Manuel Ramos [CRD: 1956224, Downey, California]. Ramos joined Centaurus Financial Inc. on February 8, 2011. Prior to this, he worked for other firms, including Sammons Securities Company LLC and Tower Square Securities Inc. Ramos’s career has been marked by some client disputes, with […]