Investors apparently complained about securities broker John Thomas Hardiman [CRD: 2089333, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hardiman has been registered with Janney Montgomery Scott LLC since August 30, 2017, working there as both a broker and investment adviser. Read below to discover more […]

Investors have reportedly disputed the sales practices of securities broker William Andrew Grundig [CRD: 2589507, Freehold, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grundig worked for Commonwealth Financial Network from September 30, 2016, to July 31, 2025, before registering with Kestra Investment Services LLC and […]

Investors have reportedly disputed the sales practices of securities broker Christopher John Browning (also known as Chris Browning and Christopher John Brownrigg) [CRD: 4786391, Scottsdale, Arizona], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Browning worked for Western International Securities from May 12, 2009, to February 5, 2024, and […]

Investors potentially experienced sales practice violations by securities broker James Joseph Montalto [CRD: 711603, Northport, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Montalto has been registered with RBC Capital Markets LLC since November 23, 2005. Read below to discover more about Montalto’s publicly reported disclosures. RBC Capital […]

Investors potentially experienced sales practice violations by securities broker Gregory Dee Cunningham (also known as Greg Cunningham) [CRD: 2477804, Park City, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cunningham has been registered with Raymond James Financial Services Inc. since March 1, 2010, and with Raymond James Financial […]

Investors might have sustained losses because of securities broker William Stoddard Valentine [CRD: 707507, Jenkintown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Valentine has been registered with Oppenheimer Co. Inc. since November 11, 2016 (broker) and November 14, 2016 (investment adviser). See below to find out more about […]

Investors have reportedly disputed the sales practices of securities broker Stefan Leonard Dolgoff [CRD: 1230346, Hunt Valley, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Dolgoff worked for LPL Enterprise LLC from November 14, 2024, to February 27, 2025. See below for details about Dolgoff’s disclosures. LPL […]

Investors might have sustained losses because of securities broker James Earl Hedgspeth III (also known as Jay Hedgspeth) [CRD: 7081984, Gadsden, Alabama], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hedgspeth worked for Morgan Stanley beginning April 21, 2023, as a broker and May 1, 2023, as an investment […]

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors […]