Investors might have sustained losses due to securities broker Mark Norman Miller [CRD: 1142801, White Bear Lake, Minnesota], based on publicly available information reported on FINRA BrokerCheck. Mark Miller has worked with LPL Financial LLC since February 8, 2010, and has also served as an investment adviser with the same firm since April 26, 2011. […]

Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to […]

One or more investors apparently complained about securities broker Kenneth David Wright (also known as Ken Wright) [CRD: 1889354, Kingsport, Tennessee], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Wright worked for Osaic Institutions Inc. at its Kingsport and Johnson City, Tennessee locations starting March 1, 2016, in a brokerage capacity, and […]

Investors may have incurred losses because of securities broker William Stephen Jones (also known as Steve Jones) [CRD: 867147, Anderson, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones has worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since January 2, 2018. Keep reading to find out […]

Investors potentially experienced sales practice violations because of securities broker Jason Keith Norton [CRD: 4776196, Carrollton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Norton has worked with LPL Financial LLC since July 20, 2011, and also with Independent Advisor Alliance LLC since September 24, 2018. Below, individuals can understand more about […]

One or more investors might have sustained losses due to securities broker Michael Scott Buonanno [CRD: 2823332, East Northport, New York], according to publicly available information reported on FINRA BrokerCheck. Buonanno has worked with Cetera Wealth Services LLC since February 1, 2019, and previously worked for Cetera Advisor Networks LLC in El Segundo, California, from […]

Investors might have sustained losses because of securities broker Christopher Todd Robinson (also known as Chris Robinson) [CRD: 2582006, Argyle, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Robinson has worked with LPL Financial LLC since February 14, 2018, and has also been associated with RFG Wealth Advisory since May 5, […]

One or more investors apparently complained about securities broker Victoria Thu-Van Pazzalia (also known as Vicky Pazzalia, Victoria Nguyen, and Vicky Nguyen) [CRD: 5920806, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pazzalia worked for McAdam LLC beginning October 3, 2014, and for Madison Avenue Securities LLC from January 3, 2025. […]

Investors supposedly complained about securities broker John William Shaffer Jr. [CRD: 1800679, East Freedom, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shaffer worked for GWN Securities Inc. from January 2, 2019, and also worked with Latitude Advisors LLC as of January 3, 2019. See the following information to learn more about […]