Matthew Steinberg (CRD#: 2430032) is a registered broker and investment advisor at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and has previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Gary Thomas Hughes (CRD# 1700976) is a registered investment advisor at Hughes Wealth Management Incorporated in Hermosa Beach, CA. He was previously a registered broker.   Broker’s Background He entered the securities industry in 1987 and previously worked with Yaeger Securities, Dean Witter Reynolds Inc.; BA Investment Services, Inc.; United Pacific Securities, Inc.; Brokers Transaction […]

Bernard F. Jasmin (CRD#: 4442394) is a previously registered broker.   Broker’s Background He entered the securities industry in 2002 and previously worked with J.P Turney & Company, LLC; National Securities Corporation; Aura Financial Services, Inc.; Empire Asset Management Company; and PHX Financial, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Andrew David Schell (CRD#:6536347) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2015 and previously worked for Merril Lynch, Pierce, Fenner & Smith Incorporated and D.A Davidson & Co. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

William Wade Godfrey (CRD#:2447660) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1994 and previously worked for John Hancock Mutual Life Insurance Company; Fahnestock & Co., Inc.; Ameritas Investment Corp.; American General Financial Advisors, Inc.; Public Employees Equities Services Company; Ameritas Investment Corp.; Equitable Advisors, LLC; Thrivent […]

  Matthew Thomas Mierzycki (CRD#: 6102769) is a registered broker and investment advisor at Ameriprise Financial Services, LLC., in Round Rock, TX. Broker’s Background He entered the securities industry in 2012 and previously worked for Edward Jones. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry […]

James Eric Monken (CRD#:5765921) is a registered broker and investment advisor at Morgan Stanley in Clayton, MO. Broker’s Background He entered the securities industry in 2010 and previously worked for Morgan Keegan & Company, Inc. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

William Colin Seibert (CRD#: 2710335) is a registered broker and investment advisor at Raymond James & Associates, Inc., in Houma, LA. Broker’s Background He entered the securities industry in 1996, and previously worked for Bank United Securities Corp.; Pritchard Capital Partners, LLC (FINRA expelled the firm in 2012); Wells Fargo Brokerage Services, LLC; Wells Fargo […]

James Ward Margraf (CRD#: 6517554) is a registered investment Advisor at Latour Asset Management LLC in Springfield, MO. He is also a previously registered broker. Broker’s Background He entered the securities industry in 2015 and previously worked for Gradient Advisors, LLC, and Center Street Securities, Inc. Current Allegations of Conduct Leading to Investment Loss According […]

Scott W. Reed (CRD#: 3007033) is a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2008 and previously worked for Strategic Advisers, Inc.; Ashton Thomas Private Wealth, LLC; Wells Fargo Clearing Services, LLC; and First Financial Equity Corporation. Allegations of Misconduct According to publicly available records released by the […]