Erez Law is currently investigating former Tobin & Company Securities LLC broker Michael Petrucelli (CRD# 6339745). He has been listed as president of government solutions divisions at Rational 360, Inc. in Washington, DC, since 2020, as an investment adviser representative … Continue reading
There are options for clients of Wells Fargo Clearing Services, LLC broker Stephen Wiedemann (CRD# 2212349). He has been registered with Wells Fargo Clearing Services, LLC in Newport Beach, California, since 2018. He was registered with Ameriprise Financial Services, Inc. … Continue reading
Can you recover losses due to recommendations by former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Bryce Jones (CRD# 6361728)? He has been registered with Independent Financial Group, LLC in Washington, Utah, since 2022. He was registered with Merrill Lynch, … Continue reading
Arkadios Capital broker Ronald York Jr. (CRD# 4308987) is accused of unsuitable investment recommendations. He has been registered with Arkadios Capital and Arkadios Wealth Advisors in Wall, New Jersey, since 2019. He was registered with Triad Advisors, LLC in Wall, … Continue reading
Erez Law is currently investigating Spartan Capital Securities, LLC broker John Stapleton (CRD# 2791194) regarding unsuitable investment recommendations. He has been registered with Spartan Capital Securities, LLC in Garden City, New York, since 2015. Previously, he was registered with Craig … Continue reading
Were you the victim of former Independent Financial Group, LLC broker Loren Grabau (CRD# 6984490)? He was registered with Independent Financial Group, LLC in Santa Maria, California, from 2019 to 2025, when he was terminated regarding, “RR was terminated by … Continue reading
Cetera Wealth Services, LLC broker Hector Mena (CRD# 5400535) is accused of unsuitable investment recommendations. He has been registered with Cetera Wealth Services, LLC in Hypoluxo, Florida, since 2021, and Cetera Investment Advisers LLC in Hypoluxo, Florida, since 2023. He … Continue reading
Erez Law is currently investigating Kingsbury Capital Investment Advisors broker Asher Wolmark (CRD# 2064857) regarding unsuitable investment recommendations. He has been registered as an investment advisor representative with Kingsbury Capital Investment Advisors in Chicago, Illinois, since 2008. He was registered … Continue reading
Were you the victim of J.P. Morgan Securities LLC broker Jeffrey Frankos (CRD# 4006785)? He has been registered with Raymond James & Associates, Inc. in San Francisco, California, since 2022. He was registered with J.P. Morgan Securities LLC in San … Continue reading
Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Barbara Bart (CRD# 5404157) is accused of unsuitable investment recommendations. She has been listed as a financial advisor with Bank of America in Savannah, Georgia, since 2009, and a financial advisor … Continue reading