Investors have reportedly disputed the sales practices of securities broker William Andrew Grundig [CRD: 2589507, Freehold, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grundig worked for Commonwealth Financial Network from September 30, 2016, to July 31, 2025, before registering with Kestra Investment Services LLC and […]

Investors have reportedly disputed the sales practices of securities broker Lawrence Allen Krause [CRD: 275153, Larkspur, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Krause worked for KW Securities Corporation from June 24, 1980, to April 2, 2024, and for B.B. Graham Company Inc. from December 1, 2021, to […]

Investors apparently complained about securities broker Robert Macaluso [CRD: 1348161, Boca Raton, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Macaluso worked for Stifel Nicolaus Company Incorporated from April 30, 2010, to July 10, 2024. Keep reading to discover more about Macaluso’s disclosures. Stifel Investor Accused Macaluso […]

Investors might have sustained losses because of securities broker William Stoddard Valentine [CRD: 707507, Jenkintown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Valentine has been registered with Oppenheimer Co. Inc. since November 11, 2016 (broker) and November 14, 2016 (investment adviser). See below to find out more about […]

Investors might have sustained losses because of securities broker James Earl Hedgspeth III (also known as Jay Hedgspeth) [CRD: 7081984, Gadsden, Alabama], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hedgspeth worked for Morgan Stanley beginning April 21, 2023, as a broker and May 1, 2023, as an investment […]

Investors apparently complained about securities broker H. Todd Roggen (also known as T. Todd Roggen) [CRD: 721463, Houston, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Roggen worked for Raymond James Financial Services Inc. from June 23, 2010, to November 1, 2024. Keep reading to discover more about […]

Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]

Investors possibly experienced sales practice violations by securities broker Vincenzo Pietro Garganese (also known as Vincenzo Hart) [CRD: 6760844, Portland, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Garganese has been registered with MML Investors Services LLC since April 22, 2017, serving clients from the firm’s Portland and Falmouth, Maine offices. Keep reading to learn […]

Investors have reportedly disputed the sales practices of securities broker Robert Charles Knutson Jr. [CRD: 272788, St. Paul, Minnesota], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Knutson worked for Morgan Stanley from November 8, 2013, to March 22, 2023, and for UBS Financial Services Inc. from April 15, 1988, to […]