Blog

The Wolper Law Firm is investigating 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 registered investment advisers, […]

Broker’s Background   Christopher Ziogas (CRD #: 1110989) was a previously registered broker with FINRA. He’s been previously employed with Cigna Securities, Private Ledger Financial Services, Linsco Financial Group, LPL Financial LLC, Metlife Securities, and Kestra Investment Services, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available […]

Broker’s Background David Nathan Cohen (CRD #: 5083883) is registered with Cetera Investment Services LLC.  He is located in Yonkers, NY.  David Nathan Cohen has been previously employed by Foresters Financial Services, INC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Broker’s Background   John Michael Pulliam (CRD #: 2224237) is registered with The Leaders Group, Incorporated. He is located in Summit, NJ. Pulliam’s past employers include Merrill Lynch, Pierce Fenner, Citigroup, UBS Financial Services, and Raymond James Financial Services.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available […]

Broker’s Background   Timothy Darragh (CRD #: 1897635 ) is registered with Stiffel, Nicolaus & Company, Incorporated. He is located in Chicago, IL. Darragh’s past employers include Investors Center, Inc, Painewebber Incorporated, Alex, Brown & Sons Incorporated, Hambrecht & Quist, Chase Securities, Credit Suisse, and Stifel, Nicolaus & Company.   Current and Past Allegations of […]

Premium‑financed life insurance remains a widely marketed financing strategy; however, over the last couple of years, it has faced increasing scrutiny, litigation risk, and shifting industry dynamics. While premium financing can be a valuable tool to build wealth and maximize coverage, it is not appropriate for every situation. Florida investors should be on their guard […]

Syed Ali Farooq (CRD#:4815808) is a registered investment advisor with Jaffe Tichlin Investment Partners, LLC in Santa Ana, CA. Broker’s History He entered the securities industry in 2007 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; B.C. Ziegler and Company; Saturna Capital Brokerage Services, Inc.; Protected Investors of America; Westpark Capital, Inc.; […]

Amanda Rose Brostek (CRD#: 6264776) was a previously registered broker. Broker’s History She entered the securities industry in 2014 and previously worked with AXA Advisors, LLC and Key Investment Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Michael Clifford Graham (CRD#: 3263494) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc.; Principal Securities, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Ejiro Ode Okuma (CRD#: 5774832) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2010 and previously worked with Edward Jones and Equitable Advisors, LLC. Allegations of Misconduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2025, […]