Investors potentially incurred losses because of securities broker William Lefkowitz [CRD: 1170503, Livingston, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lefkowitz worked for National Securities Corporation from November 17, 2012, to July 22, 2022, and later joined B. Riley Wealth Management on July 22, 2022, where he remains registered. Readers […]

Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander […]

Investors potentially experienced sales practice violations by securities broker Gerald Best Hanifan Jr. (also known as Jerry Hanifan) [CRD: 2286666, West Jefferson, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hanifan worked for USA Financial Securities LLC beginning April 24, 2006, and USA Financial Securities Corporation beginning March 27, 2007. Investors […]

FINRA barred securities broker Anthony Richard Bottini III (also known as Rick Bottini) [CRD: 5567091, New York, New York], and investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Bottini worked for Merrill Lynch from July 22, 2011, to May 22, 2025. Investors should continue reading to find […]

Investors have reportedly disputed the sales practices of securities broker David Theodore Bulow [CRD: 5834367, Milpitas, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Bulow worked for NI Advisors from May 19, 2015, to May 22, 2024. Investors can see below to learn more about the disclosures involving this […]

Oklahoma Department of Securities and FINRA sanctioned securities broker David Jerry Love [CRD: 4788074, Oklahoma City, Oklahoma], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Love worked for LaSalle St. Securities LLC from September 2, 2021, to May 31, 2024, and previously for ICMA-RC Services LLC from […]

Investors potentially incurred losses because of securities broker Eugene Lee Webb (also known as Gene Webb) [CRD: 1851855, Portland, Oregon], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb has worked for Paulson Investment Company LLC from June 3, 2016, to present. Keep reading to discover more about the disclosures involving […]

Investors have reportedly disputed the sales practices of securities broker Marco Bartolo Azizi (also known as Moe Azizi) [CRD: 2154719, San Jose, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Azizi has worked for Centaurus Financial Inc. since July 20, 2016, where he has been registered as both a broker and […]