Investors potentially experienced sales practice violations by securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Micera worked for RBC Capital Markets LLC beginning on March 9, 2002, as a broker and since April 29, 2002, as an investment adviser. Investors […]

Investors have reportedly disputed the sales practices of securities broker Debra L. Biosca (also known as Debra Rathje) [CRD: 4584010, Arlington Heights, Illinois], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biosca worked for Arkadios Capital from September 4, 2019, to August 18, 2025, and previously worked for Triad Advisors LLC from […]

Investors apparently complained about securities broker Phillip Wayne Jones [CRD: 2445213, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for Merrill Lynch beginning on February 1, 1994, as a broker, and has also been registered with the firm as an investment adviser since February 23, 1994. Investors should continue […]

Investors potentially experienced sales practice violations by securities broker Alex Ng (also known as Alex King) [CRD: 5842211, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ng worked for National Securities Corporation from December 20, 2010, to June 1, 2022, and has been registered with PHX Financial Inc. […]

Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]

Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]

Investors apparently complained about securities broker David Joseph Perrotto [CRD: 4960240, Webster, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David J. Perrotto worked for Cetera Advisors LLC from March 1, 2012, to November 3, 2025, and Cetera Investment Advisers LLC from March 22, 2024, to November 3, 2025, […]

Investors might have sustained losses due to securities broker Eugene Boyd Thomas (also known as Gene Thomas) [CRD: 2065557, Lexington, Oklahoma], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas has worked for MML Investors Services LLC as a broker and investment adviser since March 25, 2017. Investors should continue reviewing this […]

Investors potentially experienced sales practice violations by securities broker Jeffrey Seth Morrison [CRD: 3200399, Livingston, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Morrison has worked with LifeMark Securities Corp. since February 18, 2005, as a broker, and since September 11, 2009, as an investment adviser. Investors should […]