Investors have reportedly disputed the sales practices of securities broker James George Witkowski [CRD: 4221931, Liberty, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witkowski has worked for Cetera Advisors LLC since December 10, 2009, and later became registered with Cetera Investment Advisers LLC on March 21, 2024, after previously […]

Investors potentially incurred losses because of securities broker Sam Bhushan (also known as Sameer Bhushan) [CRD: 4884717, Irvine, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sam Bhushan worked for Cabin Securities Inc. from July 15, 2017, to December 31, 2025. Keep reading to learn more about Bhushan’s disclosures. Cabin […]

FINRA fined securities broker Angelo Julius Piccone [CRD: 1401761, Pittsford, New York], and investors complained about him, according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Piccone worked for IBN Financial Services Inc. from April 20, 2011, to November 15, 2024. Keep reading to learn more about Piccone’s disclosures. FINRA Sanctioned Piccone […]

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 […]

FINRA suspended securities broker Justin Ray Deiter [CRD: 5225102, Garden City, New York], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Deiter worked for Spartan Capital Securities LLC from January 29, 2020, to September 28, 2023. Keep reading to find out more about Deiter’s disclosures. FINRA […]

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 […]

Investors might have sustained losses due to securities broker Ernesto A. Chavez Jr. [CRD: 4315877, Nogales, Arizona], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chavez worked for Western International Securities Inc. from September 29, 2015, to March 1, 2022, and later joined Emerson Equity LLC, where he has been registered […]

Investors potentially experienced sales practice violations by securities broker Mark Alan Cline [CRD: 3206962, Wildwood, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cline worked for National Securities Corporation from January 8, 2014, to January 21, 2022, and for B. Riley Wealth Management from October 22, 2021, to January 4, […]

Investors apparently complained about securities broker Stephen Yauman Kwan (also known as Steve Kwan) [CRD: 3183681, Spicewood, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kwan worked for Madison Avenue Securities LLC from April 3, 2006, to November 20, 2022. Investors are encouraged to review the information below to discover more about […]