Investors might have sustained losses due to securities broker Surya Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Surya Metzler has worked for Centaurus Financial Inc. since November 1, 2011, and Newport Wealth Advisors Inc. since January 9, 2018. Prior to this, he was also registered with […]

Investors might have sustained losses because of securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Bush has worked for Capital Investment Group Inc. since August 31, 2018, and Capital Investment Advisory Services LLC since September 1, 2018. Previously, […]

Investors might have received losses due to securities broker Shane Alexander Appelbaum [CRD: 4772668, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn […]

Investors potentially experienced losses because of securities broker Shadi Taysir Barakat (also known as Sean Barakat) [CRD: 5031281, New York, New York], according to disclosures on FINRA BrokerCheck. Specifically, Shadi Barakat worked for Alexander Capital, L.P. in Red Bank, New Jersey, from October 21, 2022, to October 24, 2022, and Spartan Capital Securities LLC in […]

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Roemmich has worked for Alexander Capital, L.P. since October 2, 2020, and with Alexander Capital Wealth Management LLC since November 6, 2020. Previously, he worked for Retirement Cash Flow Group LLC from April 2, 2019, to […]

Investors potentially experienced losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. According to the regulator, Potratz has worked for Osaic Wealth Inc. since November 3, 2023. Before that, he worked for FSC Securities Corporation from October 7, 2003, to November 3, 2023. Keep reading to […]

Investors apparently complained about securities broker Richard John Donatelli (also known Rick Donatelli) [CRD: 1652397, Columbiana, Ohio], according to disclosures on FINRA BrokerCheck. Donatelli has worked for LPL Financial LLC since November 29, 2017. Previously, he worked for other firms, including Wealth Advisors Group. Here’s more about the disclosures against Donatelli. Wealth Advisors Group Investor […]

Investors reportedly may have incurred losses due to securities broker Randall Earl McGill [CRD: 1309727, Homer Glen, Illinois], according to disclosures on FINRA BrokerCheck. According to the regulator, McGill has worked for Ausdal Financial Partners Inc. since June 9, 2015. Prior to this, he was registered with the same firm in Davenport, Iowa, as an […]

Investors potentially experienced losses due to securities broker Patrick Roland Hobert [CRD: 805680, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Patrick Hobert has worked for Centaurus Financial Inc. since July 9, 2007. Keep reading to learn more about the disclosures concerning this securities broker. Centaurus Financial Investor Accused Hobert […]