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Category: Broker Discipline

Financial Advisor Jon Schmidhammer (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Jon Schmidhammer, a former Financial Advisor at Stifel, Nicolaus & Co. in Dublin, Ohio.  Jon Schmidhammer first entered the securities industry in the 1980s and previously worked for Merrill Lynch, Advest and UBS Financial Services. According to publicly available records released by the Securities Exchange […]

Financial Advisor William Greenfield (TFS Securities, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against William Greenfield, a Financial Advisor at TFS Securities, Inc. in Cherry Hill, New Jersey.  William Greenfield has been in the financial services industry since 1987 and previously worked for Network 1 Financial Securities and 1st Global Capital Corp.  He is also the owner of WealthBridge […]

Financial Advisor Brian Eyster (O.N. Equity Sales Company and Fortune Financial Services, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Brian Eyster, a Financial Advisor at O.N. Equity Sales Company in Farmington Hill, Michigan.  Brian Eyster has been in the financial services industry since 1999 and previously worked for Park Avenue Securities. According to publicly available records released by the Securities Exchange Commission (SEC), on […]

Financial Advisor Marc Reda (First Standard Financial Company LLC) Customer Complaints

Marc Reda is a former Financial Advisor at First Standard Financial Co. and current Financial Advisor at Spartan Capital Securities in Staten Island, New York.  Marc Reda first entered the securities industry in 1999 and has worked for a multitude of brokerage firms, including PHX Financial and Laidlaw & Co. According to publicly available records […]

Financial Advisor William Gennity (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against William Gennity, a Financial Advisor at First Standard Financial Co. in Staten Island, New York.  William Gennity first entered the securities industry in 2005 and previously worked for Alexander Capital, Legend Securities and National Securities Corporation. According to publicly available records released by the Financial […]

Financial Advisor Rocco Roveccio (First Standard Financial Company LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Rocco Roveccio, a Financial Advisor at First Standard Financial Co. in Staten Island, New York.  Rocco Roveccio first entered the securities industry in the 1990s and previously worked for Brookstone Securities, Mercer Capital and Gunnallen Financial. According to publicly available records released by the Financial […]

Financial Advisor Thomas Beattie (Dakota Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Thomas Beattie, a Financial Advisor at Dakota Securities in Miami, FL.  Thomas Beattie first entered the securities industry in 1975 and previously worked at four brokerage firms that have since been barred by FINRA. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Stephen Williams (NEXT Financial Group, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Stephen Williams, a Financial Advisor at NEXT Financial Group, Inc. in Madison, Alabama.  Stephen Williams entered the securities industry in 2002 and previously worked for Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Williams has eight (8) […]

Financial Advisor Wills Henriquez (Network 1 Financial Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Wills Henriquez, a former Financial Advisor at Network 1 Financial Securities in Brooklyn, NY.  Among Wills Henriquez’s prior employers were Newport Coast Securities, Legend Securities and Emerald Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 21, 2018, […]

Financial Advisor Steven Pagartanis (Cadaret, Grant & Co., Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Steven Pagartanis, a former Financial Advisor at Cadaret, Grant & Co. and Lombard Securities in Seatauket, KY.  Steven Pagartanis has been in the securities industry since 1989 and has worked for several other brokerage firms, including Woodbury Financial Services, Invest Financial Corp. and Yankee Financial […]