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Broker’s Background   William Brian Candler (CRD #: 2802438) is registered with JCC Capital Markets, LLC. He is located in Overland Park, KS. Candler’s past employers include JCC Advisors, LLC, Connor Capital Investments, LLC, Burch & Company, Inc., Argent Investment Services, Inc., VSR Financial Service, Inc., Cabin Securities, Inc., Cabin Advisors, LLC and JCC Capital […]

Broker’s Background   David Taddeo (CRD #: 1163829) was formerly registered both as a broker and as an investment adviser.  He was previously located in La Mesa, CA.  Taddeo was most recently employed by LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Broker’s Background   Roderick Rodriguez (CRD #:2680445) is registered with Osaic Institutions Inc. He is based in New York, NY. Rodriguez has been previously registered with Citigroup, Essex National Securities, LPL Financial Corporation, IFMG Securities, Invest Financial Corporation, Gruntal & Co, L.L.C. and First Albany Corporation.   Current Allegations of Conduct Leading to Investment Loss […]

Broker’s Background   Betsy Lou Whipple (CRD #: 2703262) is registered with Osaic Wealth Inc. She is based in Hiko, NV. Betsy Lou Whipple has been previously employed by Newbridge Securities, M.S. Howells & Co, MSH Capital Advisors LLC, Greenleaf Financial Network LLC, Merrill Lynch, Morgan Stanley, Bear, Stearns & Co Inc, and PaineWebber Incorporated. […]

Broker’s Background   Steven Jay Kibbel  (CRD #: 6800914) was previously registered with LPL Financial  LLC, based in Nashville TN. Kibbel  has also been previously employed by Merrill Lynch.   Current Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) from November 2025, […]

Broker’s Background   Lawrence Aloysius Whipple III (CRD #:2701809) was formerly registered with Merrill Lynch, based in Wayzata, MN. Whipple has been previously employed by Morgan Stanley and FBR Capital Markets & Co.   Current Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) […]

Broker’s Background   William Girasole (CRD #: 6840837) was previously registered with Equity Services, INC.  He is based in Hauppauge, NY. Girasole has been previously employed by NYLIFE Securities LLC, and MML Investor services, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the […]

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 […]