Joseph Vanelli –  Permanently Barred by FINRA FINRA barred Joseph Vanelli in connection with its investigation into his OBA. Joseph Samuel Vanelli III Joseph Vanelli CRD#: 6656001 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   Joseph Samuel Vanelli III (CRD#: 6656001), a formerly registered broker for VANDERBILT SECURITIES, LLC, in Ambler, PA, is barred from …

George Burmann Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses CABOT LODGE SECURITIES LLC broker, George Burmann has an investor complaint.  GEORGE HANS BURMANN CRD#: 1240237 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   GEORGE HANS BURMANN (CRD#: 1240237), a registered representative for CABOT LODGE SECURITIES LLC in Saint Cloud, FL, has …

Charles Wareham Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses Vaylark Financial Services investment adviser, Charles Wareham has an investor complaint.  CHARLES KENNETH WAREHAM CRD#: 2193537 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   CHARLES KENNETH WAREHAM (CRD#: 2193537), a registered broker for INDEPENDENT FINANCIAL GROUP, LLC in Hartford, CT, has a …

Rodney Potratz Has A Settled Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses OSAIC WEALTH, INC. investment adviser, Rodney Potratz has a settled investor complaint.  RODNEY DAVID POTRATZ CRD#: 2367896 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RODNEY DAVID POTRATZ (CRD#: 6203300), a registered broker for OSAIC WEALTH, INC. in LAGUNA BEACH, …

William Weisbrod –  Permanently Barred by FINRA FINRA barred William Weisbrod alleging that he breached fiduciary duties owed to a community bank. WILLIAM HENRY WEISBROD CRD#: 812664 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   WILLIAM HENRY WEISBROD (CRD#: 812664), a formerly registered broker for PURSHE KAPLAN STERLING INVESTMENTS, in Fairfield, NJ, is barred from the …

DANIEL KISTLER Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses DEMPSEY LORD SMITH, LLC investment adviser, DANIEL KISTLER has an investor complaint.  DANIEL BENJAMIN KISTLER DANIEL KISTLER CRD#: 6203300 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   DANIEL BENJAMIN KISTLER (CRD#: 6203300), a registered broker for DEMPSEY LORD SMITH, LLC in ROME, …

Barry Dow Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses DEMPSEY LORD SMITH, LLC investment adviser, Barry Dow has an investor complaint.  BARRY PARK DOW CRD#: 4827935 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   BARRY PARK DOW (CRD#: 4827935), a registered broker for DEMPSEY LORD SMITH, LLC in ROME, GA, …

Ray DesRosiers Has Two Pending Investor Complaints – Goodman & Nekvasil, P.A. May Recover Investor Losses EAGLE POINT SECURITIES LLC registered representative, Ray DesRosiers has two pending investor complaints.  Raymond E DesRosiers RAYMOND EDWARD DESROSIERS, RAYMOND DESROSIERS, Ray DesRosiers CRD#: 4621826 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   RAYMOND EDWARD DESROSIERS (CRD#: 4621826), a registered …

Jeffrey Glazer Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses A.G.P. / ALLIANCE GLOBAL PARTNERS registered representative, Jeffrey Glazer has an investor complaint.  JEFFREY ROSS GLAZER CRD#: 2818073 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   JEFFREY ROSS GLAZER (CRD#: 2818073), a registered broker for A.G.P. / ALLIANCE GLOBAL PARTNERS in …

CHERI KNIGHT Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses THE STRATEGIC FINANCIAL ALLIANCE, INC. Investment Adviser, Cheri Knight has an investor complaint.  CHERYL LYN KNIGHT CHERI KNIGHT, CHERYL LNY KNIGHT CRD#: 1854248 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.   CHERYL LYN KNIGHT (CRD#: 1854248), a registered broker for …