Fernando Corcuchia (CRD#: 5394734) was a previously registered broker. Broker’s Background He entered the securities industry in 2009 and previously worked with New England Securities; NYLife Securities LLC; and Pruco Securities, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2024, Fernando Corcuchia became the […]

Blake Robert Lynch (CRD#: 6650717) is a registered broker with Securities America, Inc. in Omaha, NE. Broker’s Background He entered the securities industry in 2017 and previously worked with Securian Financial Services, Inc., and Cetera Advisor Networks LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Gihan Anil Fernando (CRD#: 4469669) is a registered broker with Cetera Investment Services, LLC in Houston, TX. Broker’s Background He entered the securities industry in 2002 and previously worked with Morgan Stanley, and Bok Financial Securities, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Martin A. Klein III (CRD#: 1778613) is a Registered Broker and Investment Advisor with RBC Capital Markets, LLC in Newport Beach, CA. Broker’s Background He entered the securities industry in 1987 and previously worked with Prudential Securities Incorporated; Morgan Stanley DW Inc.; Morgan Stanley & Co.; and J.P Morgan Securities, LLC. Current and Past Allegations […]

Ronald Luther Bucher (CRD#: 1804910) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1988, and previously worked with Glickenhaus & Co.-New Jersey; Dean Witter Reynolds, Inc.; Moore & Schley, Cameron & Co.; Hanifen, Imhoff Securities Corp.; Josephthal & Co., Inc.; Josephthal Lyon & Ross Incorporated; Prudential Securities […]

The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of  Structured Notes.  The Financial Advisor responsible for the recommendations is Keith Dagostino (CRD #2837860).   Broker’s Background     Keith Dagostino was registered with Aegis Capital Corp. as a Financial Advisor from 2014-2023.  He […]

Valence Montgomery Williams (CRD#:1389729) was a previously registered broker.   Broker’s Background He entered the securities industry in 1985 and previously worked with Shearson Lehman Brothers Inc.; Prudential-Bache Securities Inc.; Emanuel and Company (FINRA Expelled the firm on 10/13/1994); Dean Witter Reynolds Inc.; Stuart, Colemand & Co.,Inc.; Investec Ernst & Company; Maxim Group LLC; Gunnallen […]

Brian K. Jones (CRD#: 4203098) is a registered broker and financial advisor with Cambridge Investment Research, Inc. in Pilot Grove, IA.   Broker’s Background He entered the securities industry in 2000 and previously worked with IDS Life Insurance Company; American Express Financial Advisors, Inc.; Amcore Investment Services, Inc.; Cybus Capital Markets, LLC; First National Capital […]

Michael Patrick Raineri (CRD#: 4817558) was a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2006 and he previously worked with Pacific West Securities, Inc.; Cetera Advisors, LLC; KMS Financial Services, Inc.; and Securities America, Inc.   Allegations of Misconduct According to publicly available records released by the […]

Michael Fisher (CRD: 4056114) is a registered broker and investment advisor with Ameriprise Financial Services, LLC., in Melville, NY.   Broker’s Background He entered the securities industry in 2000 and previously worked with Citigroup Global Markets Inc.; Merril Lynch, Pierce, Fenner & Smith Incorporated; UBS Financial Services, Inc.; and Wells Fargo Advisors, LLC.   Current […]