Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]

Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin. Merrill Lynch […]

Investors apparently complained about securities broker Meen Ho Rhu [CRD: 2233178, Englewood Cliffs, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rhu worked for Equitable Advisors LLC from May 28, 1992, to the present as a securities broker and from July 30, 2002, to the present as a financial advisor. […]

Investors apparently complained about securities broker Peter Thomas Lawrence [CRD: 2695687, Hauppauge, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lawrence worked for American Portfolios Financial Services Inc. from January 8, 2019, to November 21, 2023. Read on to learn more about disclosures involving Lawrence and allegations concerning […]

Investors apparently complained about securities broker Anthony Sica [CRD: 1332626, New York, New York], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Sica worked for Joseph Gunnar Co. LLC from October 31, 2003, to June 21, 2024. Read on to discover more about disclosures involving Sica, including regulatory actions and client […]

Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]

Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]