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Broker’s Background   David Andrew Kangas (CRD #: 6591398) is registered with Wealthforge Securities, LLC. He is located in Richmond, VA. David’s past employers include Sandlapper Securities, LLC and Cabot Lodge Securities, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry […]

Broker’s Background   Andrew Gentiluomo (CRD #: 497546) was registered with Vanderbilt Securities, LLC. Andrew’s past employers include AXA Advisors, LLC and Equity 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 March 2026, Andrew Gentiluomo […]

Broker’s Background   Diana M. Leon (CRD #: 4857407) is registered with Osaic Wealth, Inc. She is located in Gaithersburg, MD. Diana’s past employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Capital One Advisors, LLC, Capital One Investing, LLC, LPL Financial LLC and Woodbury Financial Services, Inc.   Current and Past Allegations of Conduct […]

Broker’s Background   Shuai Wang (CRD #: 4725754) is registered with Cambridge Investment Research, Inc. He is located in San Jose, CA. Wang’s past employers include Northwestern Mutual Investment Services, LLC, OneAmerica Securities, Inc. and Cambridge Investment Research Advisors, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly […]

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 […]