John P. Franzino (CRD#:4734949) is a registered broker at Ameritas Investment Company, LLC., in Massapequa, NY. Broker’s Background John Franzino entered the securities industry in 2004 and has previously worked at MML Investors, LLC; MSI Financial Services, Inc; and NYLIFE Securities, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Martin Valade (Marty) (CRD#: 1532673) is a registered broker at Woodbury Financial Services, Inc., in Cypress, CA. Broker’s Background Mary Valade entered the securities industry in 1986, and has previously worked at Dean Witter Reynolds, Inc. Current Allegations of Misconduct Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Gustavo Miramontes (CRD#: 2338966) is a registered broker at Oppenheimer & Co. Inc., in Los Angeles, CA. Broker’s Background He entered the securities industry in 1996. He previously worked for Wedbush Securities, Inc.; Wells Fargo Advisors, LLC; Southwest Securities, Inc; and M.L Stern & Co., LLC. Current and Past Allegations of Conduct Leading to Investment […]

Mark Gillelen (CRD#: 1868626) is a registered broker and Investment Advisor at LPL Financial LLC in Redwoord City, CA. Broker’s Background He entered the securities industry in 1989 and previously worked for Cetera Investment Advisers, LLC; First Allied Securities, Inc; First Allied Advisory Services, Inc; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; Banc […]

John Brian Lee (CRD#: 2950037) is a registered broker and financial advisor at LPL Financial LLC, in Fort Worth, TX. Broker’s Background: John Lee entered the securities industry in 1999. He previous worked for Cambridge Investment Research Advisors, Inc; MML Investors Services, LLC; Northwestern Mutual Investment Services, LLC; Northwestern  Mutual Wealth Management Company; Nationwide Securities; […]

Michael Young Hamilton (CRD#: 2038138) is a registered investment advisor and broker at Centaurs Financial, Inc., in Fort Myers, FL. Broker’s Background Michael Hamilton entered the securities industry in 1992. He previously worked for J.P Turner & Company Capital Management, LLC; Gunnallen Financial, Inc.; Raymond James & Associates, Inc.; Prudential Securities Incorporated; Smith Barney Inc.; […]

Andrew Scott Pesner (CRD#: 1971579) is a registered broker at VCS Venture Securities, in Hauppauge, NY. Broker’s Background Andrew Pesner entered the securities industry in 1990. He previously worked for Joseph Stone Capital LLC; First Midwest Securities, Inc.; American Capital Partners, LLC; Milestone Financial Services, Inc.; First Asset Management, Inc.; Chatfield Dean & Co., Inc; […]

Viqas Akhtar (CRD#: 5624412) is a registered broker at B. Riley Wealth Management in Miami, FL. Broker’s Background Viqas Akhtar entered the securities industry in 2009 and he previously worked for National Securities Corporation; VFinance  Investments, Inc.; and Rockwell Global Capital LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Wolper Law Firm, P.A. is investigating former SEC Registered Investment Advisor (“RIA”), Frontier Wealth Management, LLC.  Frontier Wealth Management, LLC was formerly registered with the SEC as a registered investment advisor.  Shawn Sokolosky is one of its former investment advisor representatives. On September 3, 2021, the Securities and Exchange Commission (SEC) instituted administrative proceedings against […]

In the complex world of finance, understanding the concept of arbitration and its benefits for investors is crucial. Arbitration, a dispute resolution process outside the courtroom, offers several advantages over traditional litigation. It provides a more practical and cost-effective means to resolve conflicts between parties. The impartiality of arbitrators, typically experts in their field, ensures […]