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Timothy Alderson Roark (CRD#: 5949136) is a registered investment advisor with Koss-Olinger Consulting, LLC in Gainesville, FL. Broker’s History He entered the securities industry in 2011 and previously worked with Valmark Securities, Inc. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission (SEC), in June of 2025, Timothy […]

Sean P. Righter (CRD#: 5419832) is a registered investment advisor with One Capital Management, LLC in Newport Beach, CA. Broker’s History He entered the securities industry in 2007 and previously worked with Citigroup Global Markers Inc., and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Dennis Daniel Herrera (CRD#: 4618370) was a previously registered broker. Broker’s History He entered the securities industry in 2003 and previously worked with J.P Turner & Company, LLC; Park Capital Securities, LLC (FINRA expelled the firm in 2005); Hunter Scott Financial LLC (FINRA expelled the firm in 2014); Mercer Capital Ltd.; John Thomas Financial (FINRA […]

Zachary Ellis Taylor (CRD: 6074776)  was a registered broker and investment advisor. Broker’s History He entered the securities industry in 2012 and previously worked with Wells Fargo Advisors, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Oppenheimer & Co. Inc.; and Saxony Securities, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According […]

Elan Sanker (CRD#: 5580543) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2008 and previously worked with AXA Advisors, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; UBS Financial Services Inc.; Edward Jones; and Northwestern Mutual Investment Services, LLC. Current and Past Allegations of Conduct Leading to […]

Steven Frederick McNeilly (CRD#: 5614719) is a registered investment advisor with Stark Wealth Management, LLC in New York, NY. Broker’s History He entered the securities industry in 2012 and previously worked with American Portfolios Financial Services, Inc., and American Portfolio Advisors, Inc. Allegations of Misconduct According to publicly available records released by the U.S Securities […]

Premium financed life insurance transactions have become more popular in recent years.  From 2008-2020, the United States operated in an artificially low interest rate environment, allowing people to borrow money at historically low rates.  Insurance agents have responded to this phenomenon by selling “large,” previously unaffordable Indexed Universal Life Insurance (IUL) or Whole Life Insurance […]

Investors in First Liberty Building & Loan, LLC (“First Liberty”) face potentially devastating losses after the company and its founder, Edwin Frost, were charged by the SEC with securities fraud. The alleged scheme involved misrepresented bridge loans and promissory notes, costing investors millions and leaving many at risk of losing their entire investment.  At Wolper […]

Ali F. Chehab (CRD#: 7625979) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2022 and previously worked with Equitable Advisors, LLC, and Merril Lynch, Pierce, Fenner & Smith Incorporated. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Benjamin Melvin Schick (CRD#: 4897234) is a registered broker at Cobalt Capital, Inc. in Lake Mary, FL. Broker’s History He entered the securities industry in 2005 and has been registered with Cobalt Capital, Inc. since then. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2025, […]