Investors may have incurred losses because of securities broker Michael Rolf Siek [CRD: 2072767, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Siek worked for Aegis Capital Corp. from December 8, 2014 to April 3, 2024, and joined Dominari Securities LLC on March 4, 2024. See the following information […]

Investors potentially experienced sales practice violations due to securities broker Michael Clifford Graham [CRD: 3263494, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Graham worked for LPL Financial LLC from April 24, 2019 to June 23, 2025, and for Principal Securities Inc. from January 26, 2012 to May 2, […]

Investors might have sustained losses because of securities broker Robert Vincent Sessa (also known as Bob Sessa) [CRD: 1026924, Westlake Village, California], based on publicly available information reported on FINRA BrokerCheck. Robert Sessa worked for Western International Securities Inc. and Western International Securities from December 12, 2008 to June 5, 2025. LPL Financial LLC employed […]

Investors potentially experienced sales practice violations due to securities broker John Patrick Shortal (also known as Pat Shortal) [CRD: 2233172, Jerseyville, Illinois], according to public information reported on FINRA BrokerCheck. Shortal joined Moloney Securities Co. Inc. on March 30, 2012. Read below to learn more about the client disputes and allegations reported against this securities […]

One or more investors possibly experienced losses because of securities broker Terry Sloan Thompson (also known as T. Sloan Thompson) [CRD: 2588490, Savannah, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terry Thompson worked for Truist Investment Services Inc. from February 17, 2021 to March 21, 2024, and for BB&T Securities LLC […]

Investors potentially experienced sales practice violations due to securities broker Anthony Stephen Jovanovich (also known as Tony Jovanovich) [CRD: 2948544, Elgin, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Jovanovich worked for Wintrust Investments LLC from June 1, 2012 to January 23, 2025. He currently works for LPL Financial LLC as […]

Investors apparently complained about securities broker Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the […]

Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about […]

Investors might have sustained losses because of securities broker Kasey Luv Davis (also known as Kasey Luv Hopps) [CRD: 2353615, Belton, Texas], according to publicly available information reported on FINRA BrokerCheck. Davis has worked with Centaurus Financial Inc. in Belton, Texas since April 26, 2013, as an investment adviser and since June 5, 2013, as […]