One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, […]

Investors potentially experienced sales practice violations due to securities broker Michael Christopher Rudio [CRD: 6322313, Atlanta, Georgia], according to public information on FINRA BrokerCheck. Rudio has worked for Purshe Kaplan Sterling Investments since August 11, 2021, and for Phase Line Capital LLC since July 12, 2021. Previously, he worked with LPL Financial LLC from August […]

Investors apparently complained about securities broker Omar Gomez-Dominguez [CRD: 5905232, Encinitas, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gomez-Dominguez worked for J.P. Morgan Securities LLC from November 1, 2016, to June 11, 2024. Keep reading to find out more about Gomez-Dominguez’s disclosures. J.P. Morgan Securities LLC Investor […]

One or more investors possibly experienced losses because of securities broker Lawrence P. Cagliostro Jr. [CRD: 2605127, Toms River, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Cagliostro has worked for Merrill Lynch since August 1, 2008. Read below to learn more about the disclosures involving this securities broker. Merrill Lynch Investor Accused Cagliostro […]

Investors might have sustained losses due to securities broker Jeffrey Charles Paladini (also known as Jeff Paladini) [CRD: 4341198, Fort Worth, Texas], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paladini worked for Arkadios Capital from December 21, 2022, to May 23, 2024, and for BD4RIA Inc. from March 8, […]

Investors apparently complained about securities broker Peter Kyung Hoon Rhee (also known as Peter Kyung Moon Rhee) [CRD: 2326728, Frankfort, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rhee has worked with Cetera Advisors LLC since September 8, 2022, and for Cetera Investment Advisers LLC since November 12, […]

One or more investors possibly experienced losses because of securities broker Andrew Thomas Sinsigalli (also known as Andy Sinsigalli) [CRD: 2178808, San Jose, California], according to disclosures on FINRA BrokerCheck. Evidently, Sinsigalli has worked for Merrill Lynch since December 17, 2010, as a broker and since February 15, 2011, as an investment adviser. Read below […]

Investors potentially experienced sales practice violations due to securities broker Gregory Ellis Gann (also known as Ellis Levin Gann) [CRD: 2144505, Baltimore, Maryland], based on disclosures on FINRA BrokerCheck. Gann has worked for LPL Financial LLC since November 24, 2005, working out of offices in Baltimore, Columbia, and Annapolis, Maryland. Read on to learn more […]

Investors might have sustained losses due to securities broker Mikyung Oh (also known as Mikee Oh) [CRD: 2403670, Greenwood Village, Colorado], according to disclosures on FINRA BrokerCheck. Evidently, Oh worked for LPL Financial LLC from November 18, 2011, to December 31, 2019. Keep reading to learn more about the disclosures involving Oh. LPL Financial LLC […]