Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being […]

Investors might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors […]

A Washington regulator brought a complaint against securities broker Winston Lawrence Felix [CRD: 7183135, Seattle, Washington], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Felix worked for Edward Jones from January 1, 2020, to February 24, 2025. Investors are encouraged to continue reading to find out […]

Investors have reportedly disputed the sales practices of securities broker Michael Allen Frontino [CRD: 1176514, South Charleston, West Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frontino worked for Woodbury Financial Services Inc. from November 26, 2008, to January 19, 2024, and has been registered with Osaic Wealth Inc. since January 19, […]

Investors potentially experienced sales practice violations by securities broker Matthew Ian Zagon (also known as Matt Zagon) [CRD: 2165362, Syosset, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Zagon has been registered with Cova Capital Partners LLC since July 11, 2016. Investors should review the information below to […]

Investors potentially experienced sales practice violations by securities broker Francis Patrick Cunningham (also known as Fran Cunningham) [CRD: 2105075, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cunningham worked for Stifel Nicolaus from April 4, 2025, to December 5, 2025, and later for B. Riley Wealth Management from November 14, 2025, […]

FINRA barred securities broker Bertram Brasher Unger (also known as Bill Unger) [CRD: 2334575, Jupiter, Florida], and investors complained about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Unger worked for Edward Jones from April 22, 2019, to June 29, 2022. Investors are encouraged to continue reading to find out […]

FINRA suspended securities broker Frank J. Bodi [CRD: 1107838, Solon, Ohio], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frank Bodi worked for Landolt Securities Inc. from March 13, 2017, to February 16, 2024. Investors are encouraged to review the information below to discover more about the disclosures […]

Investors potentially incurred losses because of securities broker Vincenzo Enrico Trimaldi [CRD: 6547276, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimaldi worked for SW Financial from December 10, 2019, to March 21, 2023, and has been registered with Vienna Capital Partners LLC since July 5, 2023. Investors are […]