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Category: Broker Discipline

Wells Fargo Financial Advisor, Ronald Blasczyk, Is The Subject Of A FINRA Enforcement Action

The Wolper Law Firm is currently investigating claims against Ronald Blascyzk, a former Financial Adviser at Wells Fargo Clearing Services in Green Bay, Wisconsin.  Ronald Blascyzk has been in the securities industry since the 1990s and previously worked at US Bancorp Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor, John Pariser, Barred By FINRA For Failing To Cooperate In FINRA Investigation

The Wolper Law Firm is currently investigating claims against John Pariser, a former Financial Adviser at Independent Financial Group in Pacific Grove, California.  John Pariser has been in the securities industry since the 1990s and previously worked at SWS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Former Raymond James Financial Advisor, Stephen Murray, Barred By FINRA

The Wolper Law Firm is currently investigating claims against Stephen Murray, a former Financial Adviser at Raymond James in Palm Beach Gardens, FL. Stephen Murray has been in the securities industry since the 1970s and has worked for Morgan Keegan & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

FINRA Barred Broker, John Angelone, For Allegedly Selling Unregistered Securities

The Wolper Law Firm is currently investigating claims against John Angelone, a former Financial Advisor at Network One Financial Securities and Olympus Securities in Weston, Connecticut. Sean Kelly has been in the securities industry since the 1990s and previously worked at three brokerage firms that have since been expelled from the securities industry. According to […]

Morgan Stanley Financial Advisor, John Halsey Buck III, Terminated For Failing To Disclose Private Securities Transactions And Now Has Also Been Sanctioned By FINRA

The Wolper Law Firm is currently investigating claims against John Halsey Buck III, a former Financial Advisor at Morgan Stanley in Boston, Mass. John Halsey Buck III has been in the securities industry since the 1970s and previously worked at UBS and Wachovia. According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor, Wilfred Rodriguez, Barred By FINRA For Failing To Cooperate With A FINRA Investigation

The Wolper Law Firm is currently investigating claims against Wilfred Rodriguez, a former Financial Advisor at Wells Fargo in Boca Raton, FL. Wilfred Rodriguez has been in the securities industry since the 1990s and previously worked at Prudential and PaineWebber. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October […]

Former FSG Advisors Broker, Michael Bressman, Terminated By FSG And Now The Subject Of An SEC Action For Fraudulent Charry Picking Scheme

The Wolper Law Firm is currently investigating claims against Michael Bressman, a former Financial Advisor at FSG Advisors in Chatham, NJ.  Michael Bressman has been in the securities industry since 1970s and previously worked at Merrill Lynch. According to publicly available records released by the Securities and Exchange Commission (SEC), on September 24, 2018, the […]

Moors & Cabot Terminated Robert Clark For Allegedly Taking A Loan From A Customer

The Wolper Law Firm is currently investigating claims against Robert Clark, a former Financial Advisor at Moors & Cabot in Boston, Massachusetts.  Robert Clark has been in the securities industry since the 1970s and previously worked for dozens of brokerage firms, including Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory […]

FINRA Filed An Enforcement Proceeding Against Lombard Securities Corp. Broker, John Cutshall, For Allegedly Misappropriating Funds Held In Accounts In Which He Was A Trustee

The Wolper Law Firm is currently investigating claims against John Cutshall, a Financial Advisor at Lombard Securities Corp. in Baltimore, Maryland.  John Cutshall has been in the securities industry since the 1970s and previously worked at Morgan Stanley According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 10 2018, […]

Current Summit Brokerage Services Financial Advisor, Linda Zara, Was Terminated By Wells Fargo For Taking A Loan From A Client

The Wolper Law Firm is currently investigating claims against Linda Zara, a Financial Advisor at Summit Brokerage Services in Boca Raton, FL.  Linda Zara has been in the securities industry since 1993. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 7, 2017, Linda Zara was terminated by Wells […]