Investors reportedly complained about securities broker Rafael Scott Klein (also known as Rafe Klein) [CRD: 2865823, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. Evidently, Klein joined David Lerner Associates Inc. on April 13, 2005, and Spirit of America Management Corp. on March 29, 2018. Keep reading to learn more about the disclosures involving Klein. […]

Investors potentially experienced sales practice violations due to securities broker Jerome Anthony Messana [CRD: 712315, Manasquan, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Messana joined Aegis Capital Corp. on September 21, 2021. He worked with Dawson James Securities Inc. from February 9, 2008, to October 12, 2021. Keep reading to learn […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]

Investors might have sustained losses through securities broker James Richard Sophia Jr. [CRD: 3222645, Shaker Heights, Ohio], based on disclosures on FINRA BrokerCheck. Evidently, Sophia worked for Vanderbilt Securities LLC from January 10, 2025, to March 19, 2025, and for Morgan Stanley from January 18, 2019, to January 28, 2025. Keep reading to find out […]

Investors potentially experienced sales practice violations because of securities broker Stephen Chester Kiszlowski (also known as Steve Kiszlowski) [CRD: 2440000, Grosse Pointe Woods, Michigan], according to disclosures on FINRA BrokerCheck. It appears that Kiszlowski worked for Center Street Securities Inc. from October 29, 2018 to March 9, 2023, and for Independence Capital Co. Inc. from […]

Investors potentially experienced sales practice violations because of securities broker Gerald Warren Seigel (also known as Gerry Seigel) [CRD: 418229, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Seigel joined Aegis Capital Corporation in Sarasota, Florida, as both a securities broker and financial advisor on June 17, 2015. Read on to know more about the […]

FINRA barred securities broker Szczepan Kosmaczewski (also known as Steven Kostis) [CRD: 7192377, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Kosmaczewski worked for PHX Financial Inc. from November 19, 2024 to February 10, 2025; Craft Capital Management LLC from March 23, 2022 to November 20, 2023; Joseph […]

Investors potentially experienced sales practice violations because of securities broker Mark Connolly [CRD: 4443644, Fort Worth, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Connolly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 1, 2008, operating out of Fort Worth and Colleyville, Texas. Below, you can learn more […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]