The State of Maryland and FINRA both sanctioned securities broker Raymond Hill Smith Jr. [CRD: 731506, Macon, Georgia], according to information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith joined Smith Brown Groover Inc. on May 18, 1981, and SBG Wealth Management on February 19, 2003. Continue reading for details about the regulatory disclosures […]

One or more investors possibly experienced losses because of securities broker Robert Stanley Fagan [CRD: 1572927, Leucadia, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Fagan worked for Madison Avenue Securities LLC in Encinitas, California, from July 25, 2006, to December 22, 2021, before moving to First Allied Securities […]

Investors reportedly complained about securities broker Seyed Ahmad Hashemian [CRD: 1574079, Albuquerque, New Mexico], based on public information found on FINRA BrokerCheck. Evidently, Hashemian joined Centaurus Financial Inc. on October 6, 2009, serving clients through its offices in Santa Ana, California, and Albuquerque, New Mexico. Keep reading to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations due to securities broker Vincent Jerome Camarda [CRD: 2463703, Massapequa, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Camarda worked for American Portfolios Financial Services Inc. from April 22, 2014, to December 31, 2018, Traderfield Securities Inc. from January 9, 2019, to September 25, […]

Investors potentially experienced sales practice violations due to securities broker Burton William Bartlett II [CRD: 1038728, Mequon, Wisconsin], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bartlett worked for Landolt Securities Inc. from May 14, 2021, to June 6, 2024, and Worden Capital Management LLC from April 7, 2014, to […]

One or more investors possibly experienced losses because of securities broker John Anthony Nole [CRD: 1609191, St. Petersburg, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nole joined Paulson Investment Company LLC on July 15, 2016. He previously worked with Paulson Investment Advisors LLC in Portland, Oregon from April […]

One or more investors possibly experienced losses because of securities broker Jeffrey Lynn Bangerter [CRD: 1687028, Roseville, California], according to publicly available information on FINRA BrokerCheck. Evidently, Bangerter joined Concorde Investment Services LLC on February 28, 2019, and joined Concorde Asset Management LLC on May 4, 2023, and Bangerter Financial Services Inc. on October 20, […]

Investors potentially experienced sales practice violations due to securities broker Krikor Greg Demirjian [CRD: 4212275, Encino, California], according to public information found on FINRA BrokerCheck. Evidently, Demirjian worked with Western International Securities Inc. from May 27, 2008, to September 20, 2024, before registering with Vanderbilt Securities LLC on September 16, 2024, and Vanderbilt Advisory Services […]

One or more investors possibly experienced losses because of securities broker William Christopher Duffy (also known as Will Duffy) [CRD: 6726333, Lone Tree, Colorado], according to publicly available information on FINRA BrokerCheck. Evidently, Duffy worked for Innovation Partners LLC from August 9, 2022, to January 3, 2024, Sharenett Securities LLC from February 13, 2022, to […]