Investors potentially experienced sales practice violations due to securities broker Rodger Anthony McAlister [CRD: 2676623, Louisville, Kentucky], according to disclosures on FINRA BrokerCheck. Evidently, McAlister has worked for Money Concepts Capital Corp since December 12, 2005, and for Money Concepts Advisory Service since March 12, 2007. Read below to learn more about McAlister’s disclosures and […]

Investors reportedly complained about securities broker Lawrence Joshua Nagel [CRD: 3040736, Louisville, Kentucky], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nagel has worked for Merrill Lynch since October 23, 2009. Read below to discover more about the disclosures involving Nagel and what they may mean for investors. Merrill Lynch […]

Investors potentially experienced sales practice violations due to securities broker Shane Appelbaum [CRD: 4772668, Boca Raton, Florida], based on disclosures on FINRA BrokerCheck. Specifically, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and also with Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn more […]

Investors apparently complained about securities broker Randall Earl McGill [CRD: 1309727, Homer Glen, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McGill has worked for Ausdal Financial Partners Inc. since June 9, 2015, and was also registered as an investment adviser with the same firm in Davenport, Iowa, […]

One or more investors possibly experienced losses because of securities broker Richard Wayne Gibson (also known as Rich Gibson) [CRD: 5352063, Long Beach, California], according to disclosures on FINRA BrokerCheck. Gibson has worked for Purshe Kaplan Sterling Investments since January 2, 2014, and for Global View Capital Management LLC since January 2, 2014. Read below […]

Investors potentially experienced sales practice violations due to securities broker Stanley Morrison Cooper (also known as Stan Cooper) [CRD: 1667427, Fresno, California], according to disclosures on FINRA BrokerCheck. Evidently, Stanley Cooper worked for RBC Capital Markets LLC from June 30, 2003, to January 18, 2023. Keep reading to learn more about Stanley Cooper’s disclosures. RBC […]

Investors reportedly complained about securities broker Larry Ovadia Cohen [CRD: 3191796, New York, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cohen has worked for Dominari Securities LLC since March 4, 2024, and previously worked for Aegis Capital Corp. from May 1, 2018, to April 3, 2024. Keep […]

Investors potentially experienced sales practice violations due to securities broker Fera Shivaee (also known as Fereshteh Fera, Fereshteh Nahavandi, and Fereshteh Shivaee) [CRD: 2271590, Laguna Niguel, California], according to disclosures on FINRA BrokerCheck. Shivaee has worked for Centaurus Financial Inc. since November 25, 1997, as a broker and since December 31, 1997, as an investment […]

Investors apparently complained about securities broker Anthony Walia (also known as Tony Walia) [CRD: 2951490, Astoria, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Walia worked for multiple firms during his career, including TIAA-CREF Individual Institutional Services LLC from March 25, 2015, to November 13, 2020; LPL […]