FINRA barred securities broker Jihoon L. Park [CRD: 6535514, Fairfax, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Jihoon Park worked for MML Investors Services LLC from April 9, 2016, to December 31, 2022. Read below for details about Jihoon Park’s regulatory and client dispute disclosures. FINRA Sanctioned Park For Failure To Comply […]

Investors have reportedly disputed the sales practices of securities broker Samuel David Frankfort [CRD: 2773755, Houston, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frankfort worked for Rockefeller Financial LLC from May 22, 2020, to February 15, 2024, and for Raymond James & Associates Inc. from September 6, 2016, to […]

Investors possibly experienced sales practice violations by securities broker Vincenzo Pietro Garganese (also known as Vincenzo Hart) [CRD: 6760844, Portland, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Garganese has been registered with MML Investors Services LLC since April 22, 2017, serving clients from the firm’s Portland and Falmouth, Maine offices. Keep reading to learn […]

Investors apparently complained about securities broker David Ta-Wai Yu [CRD: 5484970, Fort Lauderdale, Florida], according to public information on FINRA BrokerCheck. Evidently, David Yu has been registered with IFP Securities LLC and Independent Financial Partners in Fort Lauderdale, Florida since October 25, 2019. Previously, Yu worked for Kovack Advisors Inc. and Kovack Securities Inc. from […]

Investors have reportedly disputed the sales practices of securities broker Thomas Gary Justice [CRD: 2786145, San Mateo, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since November 19, 2020. Previously, he worked for Conover Capital Management in Bellevue, […]

Investors potentially experienced sales practice violations due to securities broker Dustin Johnson Javier [CRD: 6025214, Bartlett, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, Javier worked for Ausdal Financial Partners Inc. from May 20, 2016, to December 31, 2021. Read below for details about Javier’s disclosures. Ausdal Financial Partners Inc. Investor Accused Javier […]

Investors potentially incurred losses because of securities broker Thomas Woodward Hulick (also known as Tom Hulick) [CRD: 1806305, Woodcliff Lake, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hulick worked for Newbridge Securities Corporation from March 26, 2019, to May 12, 2020, and has been employed by Strategy Asset […]

Investors apparently complained about securities broker Rogers Kenneth Haydon III [CRD: 4452565, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Haydon worked for Raymond James & Associates Inc. from February 13, 2013, to September 4, 2025. Keep reading to find out more about the disclosures involving this individual. Raymond James Terminated Haydon For Violating […]

Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]