Investors have reportedly disputed the sales practices of securities broker Dennis Clarence Twarogowski [CRD: 1033169, Parma, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dennis Twarogowski worked for Independence Capital Co. Inc. as a securities broker beginning on February 3, 2005, and as a financial advisor beginning on February 7, 2005. Keep […]

Investors might have sustained losses due to securities broker Ernest Joseph Dean Jr. (also known as Joe Dean) [CRD: 2223858, Sarasota, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ernest Dean worked for Morgan Stanley from February 9, 2011, to the present as a securities broker and from March 24, 2011, […]

Investors potentially experienced sales practice violations by securities broker Michael John Wagner [CRD: 4465334, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Wagner worked for Morgan Stanley in Atlanta, Georgia, since March 16, 2012, as both a broker and investment adviser. Investors are encouraged to continue reading […]

Investors potentially incurred losses because of securities broker Russell A. Stout [CRD: 4525503, Syracuse, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Russell Stout worked for Osaic Wealth Inc. from September 1, 2023, to the present, and previously worked for SagePoint Financial Inc. from September 28, 2020, to […]

Investors have reportedly disputed the sales practices of securities broker Paz Maria Chandra (also known as Paz Porter and Paz Salvarani) [CRD: 2405701, Dunedin, Florida], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chandra has worked for Osaic Wealth Inc. since November 2, 2018, as both a broker and investment adviser. See […]

Investors might have sustained losses due to securities broker William Shyan Chan (also known as Wei Shyan Chan) [CRD: 3103541, Rowland Heights, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Citigroup Global Markets Inc. from March 11, 2011, to the present in Rowland Heights, California. Keep reading to […]

Investors potentially experienced sales practice violations by securities broker Kelly Farwell Crane [CRD: 1236296, St. Helena, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Crane worked for Wealth Enhancement Brokerage Services LLC from May 20, 2022, to the present, and Wealth Enhancement Advisory Services LLC from April 4, 2022, […]

Investors apparently complained about securities broker Benjamin Joseph Sweeney (also known as Ben Sweeney) [CRD: 2885369, Dallas, Texas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benjamin Sweeney worked for Morgan Stanley from June 1, 2009, to the present. See the following information to learn more about disclosures involving Benjamin Sweeney. Morgan […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]