Category: Financial Industry Regulatory Authority

James F. Garraway (CRD#: 7132872) is a previously registered Broker and an Investment Adviser. Broker’s Background He entered the securities industry in 2019 and previously worked for Thrivent Investment Management, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Eric Tartaglione (CRD#: 2722931) is a previously registered Broker. Broker’s Background He entered the securities industry in 1996 and previously worked for Investment Network, Inc.; EDI Financial, Inc.; Colorado Financial Service Corporation; Brookstone Securities, Inc.; Empire Financial Group, Inc.; Jesup & Lamont Securities Corp.; American Investment Services, Inc.; J.W. Barclay & Co., Inc.; Toluca Pacific […]

Joseph Todd (CRD#: 1830390) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1988 and previously worked for Centaurus Financial, Inc.; Investors Capital Corp.; Edward Jones; Invest Financial Corporation; Investors Capital Corp.; IFG Network Securities, Inc.; and Raymond James & Associates, Inc. Current And Past Allegations […]

Brad M Jacobson (CRD#: 4859099) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2004 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; and UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

The Wolper Law Firm filed an arbitration claim before the Financial Industry Regulatory Authority (“FINRA”) on behalf of clients who realized losses of nearly $750,000 in Silicon Valley Bank, First Republic Bank, Signature Bank and other financial sector securities recommended by Stifel, Nicolaus & Co., Inc. and Morgan Stanley.  The Financial Advisor responsible for the […]

Sean Pong (CRD#: 2406530) is a previously registered Broker and an Investment Adviser. Broker’s Background He entered the securities industry in 1993 and previously worked for U.S. Bancorp Investments, Inc.; J.P. Morgan Securities, LLC; Chase Investment Services, Corp.; WAMU Investments, Inc.; Great Western Financial Securities Corporation; and Sunpoint Securities, Inc. Current And Past Allegations Of […]

Kale Young (CRD#: 2270954) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1993 and previously worked for Cuso Financial Services, LP; LPL Financial, LLC; Zions Direct, Inc.; Bancwest Investment Services, Inc.; Countrywide Investment Services, Inc.; Citicorp Investment Services; IFMG Securities, Inc.; FIMCO Securities Corporation; and […]

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 Nelson Partners Skyloft DST is a recent example of a DST “gone bad” when its issuer recently failed to uphold the terms of a $35 million loan with Axonic […]

When it comes to understanding fiduciary responsibilities, it can be hard to know what that means and how it applies to investing in securities. Fortunately, the U.S. Securities and Exchange Commission issued some guidance to outline its expectations for financial advisors and what they owe their clients.   What Does the SEC Say?   SEC […]

Investment related misconduct comes in many forms.  It can be out in the open and flagrant but most often it is concealed and subtle.  The hallmark signs of investment misconduct are: Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets Your financial advisor is recommending […]