Investors might have sustained losses due to securities broker Stephen Robert Marotto (also known as Steve Marotto) [CRD: 5473140, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Marotto worked for First Republic Securities Company LLC and First Republic Investment Management Inc. from January 17, 2013, to May 19, […]

Investors might have sustained losses due to securities broker Leroy Born [CRD: 4052650, Tustin, California], according to disclosures on FINRA BrokerCheck. Evidently, Leroy Born has worked for Wells Fargo Clearing Services LLC since June 23, 2017, and has also worked for Wells Fargo Advisors since June 26, 2017. Below, you can find important information about […]

Investors potentially experienced sales practice violations due to securities broker Edward Charles Fredericks [CRD: 2202730, Milford, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Fredericks has worked for Equitable Advisors LLC since June 1, 2005, working out of both Milford and Stratford, Connecticut. Keep reading to learn more about the disclosures involving Fredericks […]

Investors possibly experienced losses because of securities broker Patrick Alexander Moriarty [CRD: 4764378, Boston, Massachusetts], according to publicly available information on FINRA BrokerCheck. Evidently, Patrick Moriarty worked for UBS Financial Services Inc. from October 26, 2007, to August 30, 2024. Check out the following information about Patrick Moriarty’s regulatory disclosures. Moriarty Sanctioned By Massachusetts Securities […]

FINRA sanctioned securities broker James Ryan Parascandola [CRD: 2866028, East Brunswick, New Jersey] and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Parascandola worked for Pruco Securities LLC from May 16, 2022, to May 21, 2024, and for Equitable Advisors LLC from December 9, 2020, to May 18, […]

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 […]

One or more investors apparently complained about securities broker Cynthia S. Smith (also known as Cynthia Stein) [CRD: 2386038, Fort Myers, Florida], based on disclosures through FINRA’s BrokerCheck. Smith has been registered with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Myers, Florida, since April 2, 2002. She has worked continuously with this firm in […]

Investors potentially experienced sales practice violations due to securities broker Shannon Renee Roehrs [CRD: 4359877, Las Vegas, Nevada], according to disclosures through FINRA’s BrokerCheck. Evidently, Shannon Roehrs has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since October 23, 2009, and continues to serve as a broker and investment adviser at their Las Vegas, […]

One or more investors apparently complained about securities broker David Norman Dunn [CRD: 2819556, Walnut Creek, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Dunn worked for Oppenheimer Co. Inc. in San Francisco, California, from January 16, 2007, to January 13, 2023, before moving to Raymond James Associates […]