Manuel Antonio Fernandez (CRD#: 3079976) is a registered broker with Truist Investment Services, Inc. in Coral Gables, FL.   Broker’s Background He entered the securities industry in 1998, and he previously worked with UBS Painewebber, Morgan Stanley, and SunTrust Investment Services, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Matthew Steinberg (CRD#: 2430032) is a registered broker at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and he previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November of […]

The Wolper Law Firm represents investors around the country who have lost money in complex investment and insurance strategies, including premium financed life insurance policies.  Insurance strategies involving premium financing arrangements have become popular in recent years because of the low interest rate environment.  Insurance brokers and agents present premium financed life insurance strategies as […]

Sanford M. Katz (CRD#: 1558898) is a registered broker and investment advisor at Wells Fargo Clearing Services, LLC. Broker’s Background He entered the securities industry in 1986 and previously worked with Goldman, Sachs & Co.; UBS Financial Services, Inc.; and Credit Suisse Securities (USA) LLC. Allegations of Misconduct According to publicly available records released by […]

Matthew Kenneth Wilkes (CRD#: 5409004) is a registered investment advisor at Greensview Wealth Management in Franklin, TN. Broker’s Background He entered the securities industry in 2007. He previously worked with Chase Investment Services Corp.; Natcity Investment, Inc.; PNC Investments; Wells Fargo Advisors, LLC; FSIC; Raymond James Financial Services Advisors, Inc; United Advisors Services, LLC; Trustfirst; […]

Juan Manuel Rascon (CRD#:5631144) is a registered broker and investment adviser at Cetera Investment Services, LLC., in Houston, TX. Broker’s Background He entered the securities industry in 2009 and previously worked with Edward Jones; Chase Investment Services Corp.; J.P Morgan Securities LLC; BBVA Compass Investment Solutions, Inc.; and BBVA Securities, Inc. Current and Past Allegations […]

Glennon James Cole (CRD#: 1999588) is a previously registered broker. Broker’s Background He entered the securities industry in 1989. He previously worked with Edward Jones; UBS PaineWebber, Inc.; Summit Brokerage Services, Inc.; Huntleigh Securities Corporation; First Brokerage America, LLC; and most recently Moloney Securities Co., Inc. Current and Past Allegations of Conduct Leading to Investment […]

Marc Jay Frankel (CRD#: 2671700) is a previously registered investment advisor and broker.   Broker’s Background He entered the securities industry in 2010 and previously worked for Partnervest Advisory Services, LLC.   Allegations of Misconduct According to publicly available records released by the Securities Exchange and Exchange Commission (SEC), in January of 2024, the SEC […]

Jesus Rodriguez (CRD#:4888685) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2005, and previously worked with Merrill Lynch Pierce Fenner & Smith Inc.; Citigroup Global Markets Inc.; and Morgan Stanley.   Allegations of Misconduct According to publicly available records released by The Securities and Exchange Commission […]

Eric Coombs (CRD#: 2743447) is a registered broker with Nationwide Investment Services Corporation in Columbus, OH.   Broker’s Background He entered the securities industry in 2006 and previously worked with Nationwide Investment Advisors, LLC and The Huntington Investment Company and Financial advisors.   Allegations of Misconduct According to publicly available records released by the Financial […]