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Janet Franco Gordon (CRD#: 1114409) is a registered broker and investment advisor with Raymond James & Associates, Inc., in Coral Gables, FL. Broker’s History She entered the securities industry in 1983 and previously worked with Drexel Burnham Lambert Incorporated; Citigroup Global Markets, Inc.; and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment […]

For many investors, the risks of Indexed Universal Life insurance (IUL) outweigh the rewards. IUL scams prey upon both experienced and inexperienced investors, posing as high-earning alternatives to traditional retirement accounts. You might also be pitched an IUL as a “private pension strategy,” “no tax alternative,” “zero-risk investment,” and more. In reality, Indexed Universal Life […]

Richard Allen Ceffalio Jr. (CRD#:2619565) is a registered investment advisor with Newedge Advisors in Arlington Heights, IL. Broker’s History He entered the securities industry in 1995 and previously worked with Citicorp Investment Services; A.G. Edwards & Sons, Inc.; Wachovia Securities, LLC; UBS Financial Services, Inc.; Wells Fargo Clearing Services, LLC; and LPL Financial LLC. Current […]

Joseph Warner Rozof (CRD#: 5274784) was a previously registered broker. Broker’s History He entered the securities industry in 2007 and previously worked with Laidlaw & Company (UK) Ltd.; National Securities Corporation; Aegis Capital Corp; Rever Securities LLC; and Harley Capital LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Richard John Urciuoli (CRD#: 1239283) is a registered investment advisor with Summit Planning Group, Inc. in E. Syracuse, NY. Broker’s History He entered the securities industry in 1984 and previously worked with MHA Financial Corp.; Linsco Financial Group, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

James Dale Warring (CRD#: 3198200) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and previously worked with 1st Global Advisors Inc; R&M Wealth Management Services, LLC; United Planners’ Financial Services of America a Limited Partner; H.Beck, Inc.; Triad Advisors LLC; DAI Securities, LLC; and Eaglestone Wealth […]

The Wolper Law Firm and Doss Law Firm, LLC are investigating the alleged fraudulent “pump and dump” scheme involving Ostin Technology Group Co., Ltd., which trades under the stock ticker OST (hereinafter, the “OST Pump and Dump Scheme”).  Ostin Technology Group is a company engaged in the manufacturing of display modules used in consumer electronics, […]

The Wolper Law Firm represents investors around the country who have lost money in complex investment strategies and products, including Delaware Statutory Trusts, or “DSTs.” The Inspired Healthcare Capital family of DSTs is a recent example of a DST “gone bad” when the issuer notified investors that it was suspending distributions pending an inquiry by […]

The Wolper Law Firm represents investors around the country who have lost money as a result of failed investment strategies or products.  If a brokerage firm, investment adviser or other financial services industry professional recommended inappropriate investments, or failed to conduct adequate due diligence of recommended investment products, you may have a viable claim for […]

Broker’s History Timothy Nathaniel Darnell (“Nathanial Daniel”) (CRD#: 173962) is a dually registered financial advisor and investment advisor with Bankers Life Securities, Inc. in Atlanta, GA. He entered the securities industry in 2016 and has worked for Bankers Life for the entirety of his career in financial services.  Nathaniel Darnell is also an insurance salesman […]