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RBC Capital Markets, LLC Broker, Joseph Ljong Chu, Has Had Two Recent Customer Complaint Disclosures Alleging over $2Million In Damages
Joseph Ljong Chu (CRD 4546805) is a Financial Advisor at RBC Capital Markets, LLC in Stamford, CT. Joseph Ljong Chu has been in the securities industry since 2002 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July and…
Crown Capital Securities Broker, Kenneth Barroga, Has Had Four Customer Complaint Disclosures
Kenneth Barroga (CRD # 2288752) is a Financial Advisor at Crown Capital Securities in Watsonville, CA. Kenneth Barroga has been in the securities industry since 1992 and previously worked at LPL Financial LLC, Chase Investment Services Corp., Wamu Investments, Inc., and Wells Fargo Securities, Inc. According to publicly available records released by the Financial Industry…
Former Summit Brokerage Services, Inc Broker, Richard Whitfield Brown, Has Had Nine Customer Complaint Disclosures
Richard Whitfield Brown (CRD # 1595628) is a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL. Richard Whitfield Brown has been in the securities industry since 1988 and previously worked at Summit Brokerage Services, Inc, McDonald Investments, Inc., and Raymond James & Associates, Inc. According to publicly available records released by the…
National Securities Corporation Broker, Christopher Ortiz, Has Had Two Customer Complaint Disclosures Since February 2020
Christopher Ortiz (CRD # 2858626) is a Financial Advisor at National Securities Corporation in Melville, NY. Christopher Ortiz has been in the securities industry since 1997 and previously worked at five different brokerage firms including three that have since been expelled by FINRA. According to publicly available records released by the Financial Industry Regulatory Authority…
