There are options for clients of Independence Capital Co., Inc. broker Dennis Twarogowski (CRD# 1033169) who suffered investment losses. He has been registered with Independence Capital Co., Inc. in Parma, Ohio, since 2005. In January 2026, FINRA sanctioned him to … Continue reading
Erez Law is currently investigating Berthel, Fisher & Company Financial Services, Inc. broker Genevieve Mar (CRD# 2744037) regarding suitability and misrepresentation. She has been registered with Berthel, Fisher & Company Financial Services, Inc. in Northbrook, Illinois since 2010, and BFC … Continue reading
Realta Equities, Inc. broker Vincent Annable (CRD# 1033573) faces customer complaints related to alternative investment losses. He has been registered with Realta Equities, Inc. in Scottsdale, Arizona, since 2021, and Transce3nd LLC in Scottsdale, Arizona, since 2023. He was registered … Continue reading
The signs of elder financial abuse rarely announce themselves. There is no dramatic phone call, no obvious scam, no stranger asking for wire transfers. Instead, the warning signs tend to surface quietly, through account statements that look different than they … Continue reading
There are options for clients of industry veteran and Neuberger Berman BD LLC broker Marvin Schwartz (CRD# 416365) who is accused of direct investment losses. He has been registered with Neuberger Berman BD LLC in New York, New York, since … Continue reading
Erez Law is currently investigating Lifemark Securities Corp. broker Michael Pineda (CRD# 2337780) regarding corporate debt losses. He has been registered with Lifemark Securities Corp. in Leesburg, Virginia, since 2017. He was registered with Lifemark Securities Corp. in Denver, Colorado, … Continue reading
There are options for clients of Dominari Securities LLC broker Kyle Wool (CRD# 4238101) who is accused of stock losses. He has been registered with Dominari Securities LLC in Palm Beach Gardens, Fluoride, since 2023. He was registered with Revere … Continue reading
United Planners’ Financial Services of America A Limited Partner broker Aaron Sevigny (CRD# 4314368) faces accusations of alternative investment losses. He has been registered with United Planners’ Financial Services of America A Limited Partner in Bonita Springs, Florida, since 2006. … Continue reading
Barred former Raymond James Financial Services, Inc. broker Jose Gamez (CRD# 4292479) is accused of misappropriation. He was registered with Raymond James Financial Services, Inc. in San Antonio, Texas, from 2017 to 2025, when he was terminated regarding, “Individual alleged … Continue reading
Realta Equities, Inc. broker Preston Walchli (CRD# 7265249) is accused of alternative investment losses. He has been registered with Realta Equities, Inc. in Scottsdale, Arizona, since 2023. He was registered with Realta Investment Advisors, Inc. in Scottsdale, Arizona, from 2023 … Continue reading