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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…

Moloney Securities Advisor, Jeffrey Max Cohen, Has One Settled And Four Pending Customer Complaints, Alleging Sales Practice Misconduct

March 25, 2020

Jeffrey Max Cohen (CRD # 2528929) is a Financial Advisor at Moloney Securities Co., Inc. in Manchester, MO. Jeffrey Cohen has been in the securities industry since 2015 and registered with Moloney Securities since that time. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey Cohen has one settled and…

Former Brokers International Financial Services Advisor, Mark C. Perry, Has Two Pending Customer Complaints, Alleging Misappropriation of Funds

March 25, 2020

Mark Christopher Perry (CRD # 2197284) was a Financial Advisor at Brokers International Financial Services, LLC in Urbandale, IA. Mark Perry has been in the securities industry since 1992 and was previously registered with AXA Advisors, LLC, Next Financial Group, Inc., PRUCO Securities, LLC and The Prudential Insurance Company of America. According to publicly available…

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…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

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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Atlanta, GA 30326

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Dallas, TX 75201

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Portland, OR 97220

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Suite 1100
Denver, CO 80237

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1700 Park Street
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