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How to Reduce Your Chances of Broker Theft Out of Your Customer Accounts

July 23, 2021

Reported instances of broker theft out of customer accounts are on the rise, and the move to all-online access to brokerage accounts and transactions may be making it easier for unethical financial advisors to act. So what can you do to reduce the chances that your financial advisor has access to your outside bank accounts,…

Spartan Capital Securities Broker Christopher Orlando Barred by FINRA After Allegations of Unsuitability and Churning in Customer Accounts

July 23, 2021

Christopher Orlando (CRD#: 4136262) was a previously registered Broker at Spartan Capital Securities, LLC in New York, NY. He entered the securities industry in 2002 and previously worked for St. Bernard Financial Services, Inc.; Worden Capital Management, LLC; Legend Securities, Inc.; National Securities Corporation; Joseph Gunnar & Co., LLC; Brookstone Securities, Inc.; J.P. Turner &…

Royal Alliance Associates Financial Advisor John Swon IV Barred After Allegations of Mishandling Customer Funds

July 23, 2021

John Swon IV (CRD#: 5591686) was a previously registered Broker and Investment Advisor at Royal Alliance Associates, Inc., in Bloomington, IN. He entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Edward Jones; and RBC Capital Markets Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Wells Fargo Financial Advisor Tyler Rigsbee Barred After Allegations of Mishandling Customer Accounts

July 23, 2021

Tyler Rigsbee (CRD#: 6351278) was a previously registered Broker and Investment Advisor at Wells Fargo Clearing Services, LLC in Sacramento, CA. He entered the securities industry in 2014 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, FINRA sanctioned Tyler Rigsbee, barring…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
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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