Investors might have sustained losses due to securities broker Guillermo Agustin Eiben [CRD: 5697705, New York, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Guillermo Eiben worked for Morgan Stanley from September 17, 2009, to January 26, 2023, and has worked for UBS Financial Services Inc. since January 3, […]

Investors might have sustained losses due to securities broker Thomas B. Underwood III [CRD: 6006367, Glen Allen, Virginia], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Underwood was registered with Cary Street Partners from April 26, 2023, to August 29, 2024. The information below provides more details about […]

Investors have reportedly disputed the sales practices of securities broker Dennis Bruce Lerner (also known as Denny Lerner) [CRD: 1007397, Big Rapids, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lerner worked for Cambridge Investment Research Inc. from April 26, 2011, to December 3, 2021. Read on to learn more about Lerner’s […]

FINRA suspended securities broker Jonathon Mark Webster (also known as Jon Webster) [CRD: 1286778, Carlsbad, California], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jonathon Webster worked for Stifel Nicolaus Company Incorporated from December 6, 2019, to February 15, 2024. See the following information to find […]

Investors apparently complained about securities broker Michael Robert Dandrea [CRD: 5919930, Melville, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Dandrea worked for Sovereign Global Advisors LLC from September 13, 2016, to February 23, 2024, and is currently registered with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

FINRA suspended securities broker Richard Joseph Perlongo [CRD: 4913481, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Perlongo has been registered with Spartan Capital Securities LLC since August 15, 2017. Investors should review the details below to learn more about disclosures involving this securities broker. FINRA […]

Investors potentially experienced sales practice violations by securities broker Melvin Feldman [CRD: 205924, Jersey City, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Melvin Feldman worked for GMS Group beginning on November 2, 1988. Investors are encouraged to continue reading to find out more about the disclosures involving this […]

Investors potentially experienced sales practice violations by securities broker Arnold I. Irwin Alpert [CRD: 3919, Phoenix, Arizona], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alpert worked for UBS Financial Services Inc. from August 17, 2006, to January 6, 2025, and was previously registered with Salomon Smith Barney Inc. earlier in his […]