Investors potentially experienced sales practice violations by securities broker Anna-Marie Ocampo Lovell (also known as Anna-Marie Ocampo Agana) [CRD: 5498414, La Jolla, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lovell worked for Infinity Financial Services from March 22, 2019, and for Infinity Financial Services Advisory from April 27, […]

Investors apparently complained about securities broker Janet Franco Gordon [CRD: 1114409, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Franco Gordon worked for Raymond James Associates Inc. beginning October 16, 2023, and for Morgan Stanley from June 1, 2009, to October 18, 2023. Keep reading […]

Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]

Investors potentially experienced sales practice violations by securities broker William David Morrison (also known as Bill Morrison) [CRD: 1556786, Oakbrook Terrace, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Morrison has worked for B. Riley Wealth Management since July 22, 2022, and B. Riley Wealth Advisors Inc. since […]

Investors potentially incurred losses because of securities broker Neal Edward Hayias [CRD: 854703, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hayias has worked for Equitable Advisors LLC since June 1, 2005, in a broker capacity and since August 29, 2008, as an investment adviser […]

Investors might have sustained losses because of securities broker Jonathan Robert Harvey [CRD: 4558464, Doylestown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Harvey worked for Janney Montgomery Scott LLC as a broker since August 30, 2002, and as an investment adviser since March 30, 2006. Keep reading for […]

Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below […]

Investors potentially incurred losses because of securities broker Christian Harvey Johnston [CRD: 2601094, Olive Branch, Mississippi], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Johnston worked for LPL Financial LLC starting on November 30, 2022, after previously working for Infinex Investments Inc. from December 2, 2013, to November 30, 2022. […]

Investors apparently complained about securities broker Kevin Clinton Loyd Jr [CRD: 4447419, Town and Country, Missouri], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Loyd worked for First Allied Securities Inc. from December 16, 2013, to September 8, 2022; Cetera Advisors LLC from September 8, 2022, to June […]