Investors apparently complained about securities broker Robert Mark Pecha [CRD: 5579770, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pecha has worked for Great Point Capital LLC since April 8, 2020, and previously worked for Primex from May 2, 2019, to April 20, 2020. Keep reading to find out more about […]

Investors potentially incurred losses because of securities broker William Lapiana (also known as Bill Lapiana) [CRD: 4580411, Hoboken, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lapiana has been registered with Ausdal Financial Partners Inc. since June 21, 2024, and previously worked with Newbridge Financial Services Group Inc. and […]

Investors potentially experienced sales practice violations by securities broker Daniel Joseph McClory (also known as Dan McClory) [CRD: 1390780, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McClory worked for Boustead Securities LLC beginning July 25, 2016, later became registered with Sutter Securities Incorporated on November 27, 2019, registered […]

Investors potentially incurred losses because of securities broker Dustin Allen Smith [CRD: 2803156, Naples, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith worked for RBC Capital Markets LLC from April 1, 2015, to January 29, 2025, and he has been registered with Citizens Securities Inc. since January 17, 2025, […]

Investors might have sustained losses due to securities broker Ronald Stillman Cole [CRD: 1434325, San Mateo, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cole worked for Colorado Financial Service Corporation from May 3, 2018, to February 5, 2020, Great Point Capital LLC from February 4, 2020, to March 18, […]

Investors have reportedly disputed the sales practices of securities broker Christopher Glenn Rogers [CRD: 4453653, Englewood, Colorado], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers has been registered with Emerson Equity LLC since May 31, 2022, and with Ridgegate Advisors LLC since September 12, 2025; previously, he was registered with […]

Investors potentially experienced sales practice violations by securities broker Igor Harlap (also known as Gary Harlap) [CRD: 3125590, Huntingdon Valley, Pennsylvania], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harlap has been registered with UBS Financial Services Inc. since November 18, 1998, and he has also been registered as a financial […]

Investors apparently complained about securities broker Victor Michael Rodriguez [CRD: 2900010, Estero, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rodriguez was registered with Merrill Lynch from July 2, 2021, through April 19, 2023, before joining Edward Jones on April 20, 2023. Continue reading to learn more about disclosures involving Rodriguez. Edward […]

Investors potentially experienced sales practice violations by securities broker Timothy Graham Broyles (also known as Tim Broyles) [CRD: 5751227, Jackson, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Broyles has been registered with State Farm VP Management Corp. since February 15, 2010, and he has also been registered with State […]