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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, […]

Matthew Brett Koelliker (CRD#: 5660722) is a registered broker with KKR Capital Markets, LLC, in San Francisco, CA. Broker’s History He entered the securities industry in 2011 and previously worked with Pimco Investments, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Todd Roggen (CRD#: 721463) is a registered financial advisor with Oneseven in Houston, TX. Broker’s History He entered the securities industry in 1980 and previously worked with Rotan Mosle, Inc.; Cowen & Co.; Cowen Securities, Inc.; Prudential Securities Incorporated; First Union Securities, Inc.; UBS Financial Services, Inc.; and Raymond James Financial Services, Inc. Current and […]

Jose Abel Gamez (CRD#: 4292479) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and previously worked with USAA Investment Management Company; Chase Investment Services Corp.; Capital One Investment Services, LLC; LPL Financial LLC; and Raymond James Financial Services, Inc. Current and Past Allegations of Conduct Leading […]

George Ndifor Jing (CRD#: 2835725) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1997 and previously worked with WMA Securities, Inc; World Group Securities, Inc.; and Transamerica Financial Advisors, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]