Investors potentially experienced sales practice violations by securities broker Robert Randolph Lott (also known as Randy Lott) [CRD: 712795, Birmingham, Alabama], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lott worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning on May 27, 2020, and […]

Investors possibly experienced sales practice violations by securities broker Paul Michael Weinberger [CRD: 2757427, Clearwater, Florida], based on publicly available information on FINRA BrokerCheck. Evidently, Weinberger has worked for Cetera Financial Specialists LLC since February 5, 2021, and for Cetera Investment Advisers LLC since February 26, 2021. Previously, he was registered with National Asset Management […]

Investors potentially experienced sales practice violations due to securities broker Zwi Anthony Pechthalt (also known as Tony Pechthalt) [CRD: 2422846, Bellingham, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Pechthalt has been registered with Edward Jones since January 26, 1994, as a broker and since October 22, 2004, as an investment […]

Investors apparently complained about securities broker Carl Anthony Demarco Jr. [CRD: 2671924, Tinton Falls, New Jersey], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Demarco has worked for Hornor Townsend Kent LLC since January 11, 2002, as a broker, and since July 31, 2002, as an investment adviser. Keep […]

Investors might have sustained losses due to securities broker Mikyung Oh (also known as Mikee Oh) [CRD: 2403670, Greenwood Village, Colorado], according to disclosures on FINRA BrokerCheck. Evidently, Oh worked for LPL Financial LLC from November 18, 2011, to December 31, 2019. Keep reading to learn more about the disclosures involving Oh. LPL Financial LLC […]

Investors might have sustained losses due to securities broker Jennifer Lynn Oprinski [CRD: 4512244, Macomb, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Oprinski has worked for Merrill Lynch since October 23, 2009, and also previously worked with LaSalle Financial Services Inc. Keep reading to learn more about the disclosures involving […]

Investors potentially experienced sales practice violations because of securities broker Kevin William McBarron [CRD: 1282026, Carlsbad, California], according to disclosures on FINRA BrokerCheck. McBarron joined LPL Financial LLC on March 17, 2025. Before joining LPL, he worked with Union Capital Company in Carlsbad, California, and Tucson, Arizona, from December 19, 2015 to April 3, 2025. […]

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 Philip Kirby Jefferson [CRD: 2497587, King, North Carolina], according to publicly available information reported on FINRA BrokerCheck. Jefferson has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since June 26, 2009, with multiple branch locations including King, Yadkinville, Wilkesboro, Lexington, and Winston Salem, […]