Investors reportedly complained about securities broker Richard Anthony Panno [CRD: 724727, North Palm Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Panno has worked for Buckman, Buckman Reid Inc. since April 28, 2010. Keep reading to learn more about disclosures involving Panno. Buckman Buckman Reid Investor Accused Panno Of Failure […]

FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]

Investors might have sustained losses because of securities broker Salvatore Bonetti [CRD: 4494241, Westbrook, Maine], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bonetti joined Cetera Wealth Services LLC and Cetera Investment Advisers LLC on June 30, 2025. Previously, he worked for Insight Folios, Purshe Kaplan Sterling Investments, and MML Investors Services […]

Investors potentially experienced sales practice violations due to securities broker Peter J. Cox (also known as Peter J Cox) [CRD: 4501828, Mesquite, Nevada], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Peter Cox worked for LPL Financial LLC during the time in question. He is currently registered as both a […]

Investors potentially experienced sales practice violations due to securities broker Yi Guo [CRD: 6246079, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yi Guo has been a registered broker with Univest Securities LLC in New York, New York, since April 21, 2016. Keep reading to find out more […]

One or more investors apparently complained about securities broker Gene Earl Griffin [CRD: 1637650, Terre Haute, Indiana], according to disclosures on FINRA BrokerCheck. Evidently, Gene Griffin has been a registered representative of CFD Investments Inc. since January 16, 2001, and is also associated with Creative Financial Designs Inc. These firms are both located in Indiana, […]

One or more investors apparently complained about securities broker Jeffrey K. Johnson (also known as Jeffrey Johnson) [CRD: 4769233, Denver, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffrey Johnson has been registered with UBS Financial Services Inc. since December 5, 2008, working from offices located at 4600 S. Ulster Street […]

One or more investors apparently complained about securities broker Angela Mullis Bender (also known as Angela Ruth Mullis) [CRD: 5208180, Leesburg, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Angela Bender has worked for Osaic Wealth Inc. since August 23, 2024, and for AMJ Financial Wealth Management LLC since June 1, 2012. She […]

Investors potentially experienced losses due to securities broker John Anthony Cutrone III (also known as John Anthony Cutrone) [CRD: 6427013, New York, New York], based on disclosures on FINRA BrokerCheck. Evidently, Cutrone worked for Aegis Capital Corp. from August 30, 2017, to June 14, 2024. Keep reading to discover more about the disclosures made against […]