Investors have reportedly disputed the sales practices of securities broker Robert Allen Moore Jr. [CRD: 2051333, Marlton, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Moore worked for J. Alden Associates Inc. from July 6, 2022, and previously for Purshe Kaplan Sterling Investments from October 10, 2016, […]

Investors potentially experienced sales practice violations by securities broker Dimitrios Kosmo Michelis [CRD: 2920152, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Michelis worked for UBS Financial Services Inc. from June 24, 2011, to September 10, 2025. Read on to discover more about Michelis’s […]

Investors might have sustained losses because of securities broker Adam Ross Lunceford [CRD: 4686499, Scottsdale, Arizona], based on publicly available information on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lunceford worked for LPL Financial LLC from October 29, 2013, to May 25, 2023. See below to learn more about Lunceford’s disclosures. LPL […]

Investors potentially experienced sales practice violations by securities broker Gerald Best Hanifan Jr. (also known as Jerry Hanifan) [CRD: 2286666, West Jefferson, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hanifan worked for USA Financial Securities LLC beginning April 24, 2006, and USA Financial Securities Corporation beginning March 27, 2007. Investors […]

Investors might have sustained losses because of securities broker Roderick Rodriguez (also known as Roderick Rodriquez) [CRD: 2680445, Bronx, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rodriguez worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and beginning on September 29, 2020, as […]

Investors have reportedly disputed the sales practices of securities broker Thomas Gary Justice [CRD: 2786145, San Mateo, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since November 19, 2020. Previously, he worked for Conover Capital Management in Bellevue, […]

Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]

Investors apparently complained about securities broker Chad Anthony Noble [CRD: 4774817, The Villages, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Noble worked for Ameriprise Financial Services LLC from August 15, 2018, to July 24, 2025. Read below for details about the disclosures concerning Noble. FSC Securities Corporation Investor Accused Noble Of Unsuitable Recommendations Evidently, […]

Investors have reportedly disputed the sales practices of securities broker Angelo Frank Anello [CRD: 2835091, Needham, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anello has been registered with LPL Financial LLC in Needham, Massachusetts, since May 29, 2009, and as an investment adviser with the same firm since June 19, […]