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Joseph Gunnar & Co. Broker, Anthony Sica, Has Nine Customer Complaint Disclosures, Including One Pending Customer Complaint

April 10, 2020

Anthony Sica (CRD # 1332626) is a Financial Advisor at Joseph Gunnar & Co., LLC. Anthony Sica has been in the securities industry since 1985 and previously worked for a number of brokerage firms, including Wachovia Securities and Prudential Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Anthony Sica…

Dempsey Lord Smith Advisor, Joseph Roop, Has One Pending And Six Settled Customer Complaints, Alleging Sales Practice Misconduct

April 3, 2020

Joseph Roop (CRD # 2774470) is a Financial Advisor at Dempsey Lord Smith, LLC in Belmont, NC. Joseph Roop has been in the securities industry since 1996 and previously worked for Kalos Capital, Inc., Wachovia Securities, LLC, Banc of America Investment Services, Inc., Legg Mason Wood Walker, Incorporated, MML Investors Services, Inc. and Pruco Securities…

Former SCF Securities Broker, Peter Orlando, Barred Indefinitely By FINRA For Allegedly Improperly Obtaining Control Over The Finances Of His 81-Year Old Widow Client

March 25, 2020

Peter Orlando (CRD # 1142715) was a Financial Advisor at SCF Securities, Inc. in Fall River, MA. Peter Orlando has been in the securities industry since 1983 and previously worked for a number of brokerage firms, including MetLife Securities, Morgan Stanley, Investors Capital, Schneider Securities and Prudential Securities. According to publicly available records released by…

Calton & Associates Broker, Bart Bohrer, Has Four Pending Customer Complaints, Alleging Sales Practice Misconduct

March 15, 2020

Bart Bohrer (CRD # 4315654) is a Financial Advisor at Calton & Associates in Tampa, FL. Bart Bohrer has been in the securities industry since 2003 and has been registered with Calton & Associates this entire time. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Bart Bohrer has four pending…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

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Suite 103
Naperville, IL 60563

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1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis