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John Sterling Myers (CRD#: ) is an investment advisor at Sterling Capital, LLC and Sterling Capital Management, LLC in Chicago, IL. Broker’s Background John Sterling Myers founded Sterling Capital, LLC in 2013. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the U.S. Securities and Exchange Commission […]

Rajesh Markan (CRD#: 4553309) was previously both a registered Broker and Investment Advisor at Hilltop Securities Inc. in Dallas, TX. Broker’s Background Rajesh Markan entered the securities industry in 2002 and previously worked for IDS Life Insurance Company, Ameriprise Financial Services, Inc., Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Current […]

The Wolper Law Firm is investigating FINRA member brokerage firm, Fenix Securities, LLC, for allowing unregistered individuals, presenting themselves as legitimate Financial Advisers, to trade securities in customer accounts. In October 2024, FINRA imposed sanctions against Fenix Securities for this misconduct.  FINRA determined that Fenix Securities violated FINRA Rule 1210 (requires the registration of individuals […]

Coreen Sarah Kraysler (CRD#: 2699785) is a registered Broker at NetCapital Securities Inc. in Boston, MA. Broker’s Background Coreen Sarah Kraysler entered the securities industry in 1996 and previously worked for John Hancock Mutual Life Insurance Company, Signator Investors, Inc. and Livingston Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According […]

Richard James Roberts (CRD#: 2145874) is a registered Broker at TCFG Wealth Management, LLC in Laguna Niguel, CA. Broker’s Background Richard James Roberts entered the securities industry in 2004 and previously worked at USA Advanced Planners Inc., Hartford Life Distributors, LLC and Cambridge Investment Research, Inc. Current And Past Allegations Of Conduct Leading To Investment […]

Daniel Lee Becraft (CRD#: 2877734) is a registered Broker at Morgan Stanley in Seattle, WA. Broker’s Background Daniel Lee Becraft entered the securities industry in 1997 and previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and CitiGroup Global Markets Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly […]

The Wolper Law Firm is handling cases nationwide regarding the sale of White River Energy Corp. Native American Tax Credits (“White River Tax Credits”), which are being offered to retail securities customers as a means to secure tax deductions.  White River has associated with sales agents across the country, including FINRA member brokerage firms, SEC […]

Broker’s Background   Ralph A. Jackson III (CRD #: 1569213) is registered investment advisor with Fourstar Wealth Advisors, LLC. He is located in El Segundo, CA. Jackson’s past employers include Morgan Stanley, UBS Financial Service Inc., Salomon Smith Barney Inc., PainWebber Incorporated, Kidder, Peabody & Co., Incorporated, Smith Barney Inc., Lehman Brothers Inc., Dean Witter […]

Broker’s Background   Meredith Archer Webber (CRD #: 2435263) is formerly a registered broker at Raymond James Financial Services, Inc., Ameriprise Financial Services, LLC, Thrivent Investment Management Inc., Morgan Stanley DW Inc., UBS PaineWebber Inc., Ferris, Baker Watts Incorporated and A.G. Edwards  Sons, Inc.     Current and Past Allegations of Conduct Leading to Investment […]

Broker’s Background   Shay W. Scruggs (CRD #: 4173046) is registered with Rockefeller Financial LLC. He is located in Houston, TX. Scrugg’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Deutsche Bank Securities Inc., Rockefeller Capital Management and Rockefeller Financial LLC.   Current and Past Allegations of Conduct Leading […]