Investors apparently complained about securities broker Jorge Menendez [CRD: 5138358, Miami, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Menendez has worked for Citigroup Global Markets Inc. since November 21, 2013, working at Citi Retail Banking in Miami, Florida, and CWM Retail, Sales in Doral, Florida. Read on to learn more about […]

Investors reportedly may have incurred losses because of securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Micera has worked for RBC Capital Markets LLC at its Florham Park, New Jersey, location since March 9, 2002, and at its Mendham, New Jersey, location since […]

Investors potentially experienced losses due to securities broker John Hubert Chaney [CRD: 44529, Manchester, Missouri], according to disclosures on FINRA BrokerCheck. According to the regulator, John Chaney worked for Moloney Securities Co. Inc. from October 29, 2015, to December 31, 2023. Read on to learn more about the securities broker’s disclosures. Investor Alleged Unsuitable Advice […]

FINRA sanctioned securities broker John Alfred Dow Jr. [CRD: 2524415, Stillwater, Minnesota], according to disclosures on FINRA BrokerCheck. According to the regulator, John Dow worked for Morgan Stanley from August 1, 2012, to May 21, 2024. Here’s more about the disclosures concerning Dow. FINRA Barred Dow For Failure to Produce Documents Particularly, on January 6, […]

Investors reportedly may have incurred losses due to securities broker Edward Carchia Jr. (also known as Ed Carchia Jr. and Edward Karchia Jr.) [CRD: 1328905, Paramus, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Carchia worked for Morgan Stanley from June 1, 2009, to July 21, 2022. Here’s more about […]

Investors apparently complained about securities broker David John Taddeo [CRD: 1163829, La Mesa, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Taddeo worked for LPL Financial LLC from September 26, 2000, to March 8, 2024. Keep reading to learn more about the disclosures related to David Taddeo. LPL Financial LLC Investor Accused […]

Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]

Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]

FINRA sanctioned securities broker Christopher Philip Arnella [CRD: 4886531, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Arnella worked for Morgan Stanley since June 1, 2009, as a securities broker and since June 27, 2013, as a financial advisor. Regulatory records indicate that Arnella was sanctioned by FINRA for […]