fbpx

Category: Unauthorized Trading

Financial Advisor Wayne Miller (Aeon Capital Inc.) Customer Complaints

Wayne Miller (CRD # 4813645) is a Financial Advisor at Aeon Capital Inc. in Scottsdale, AZ. Wayne Miller has been in the securities industry since 2004 and previously worked at American Asset Advisory, LLC, Accelerated Capital Group, and Longview Financial Group, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Timothy Scherwa (Wells Fargo Clearing Services, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Timothy Scherwa, a former Financial Advisor at Wells Fargo in Morris Plains, NJ, who is currently employed at Capitol Securities Management.  Timothy Scherwa has been in the securities industry since 1997 and previously worked at Morgan Stanley. According to publicly available records released by the Financial […]

Financial Advisor Richard Yada (LPL Financial LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Richard Yada, a former Financial Advisor at LPL Financial in Little Rock, Arkansas.  Richard Yada has been in the securities industry since the 1980s and previously worked for Citigroup. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 4, 2018, […]

Financial Advisor Thomas Logue (American Independent Securities Group) Customer Complaints

The Wolper Law Firm is currently investigating claims against Thomas Logue, a former Financial Advisor at American Independent Securities Group in Hilldale, Illinois.  Thomas Logue has been in the securities industry since the 1990s and previously worked at Investors Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Financial Advisor Joseph Derrico (Woodstock Financial Group) Customer Complaints

The Wolper Law Firm is currently investigating claims against Joseph Derrico, a Financial Advisor at Woodstock Financial Group in Staten Island, NY.  Joseph Derrico has been in the securities industry since 2004 and previously worked at Alexander Capital. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2017, the […]

Financial Advisor Scott Douglas Williams (LPL Financial LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Scott Douglas Williams, a former Financial Advisor at LPL Financial in Franklin, Tennessee.  Scott Williams has been in the securities industry since the 1990s and previously worked at Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 10, […]

Financial Advisor Meaghan Johnson (Northwestern Mutual Investment Services, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Meaghan Johnson, a former Financial Advisor at Northwestern Mutual in Mclean, Virgina.  Meaghan Johnson has been in the securities industry since 2010 and previously worked for Signator Investors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 23, 2018, FINRA […]

Financial Advisor Sanders Spangler (LPL Financial LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Sanders Spangler, a Financial Advisor at LPL Financial in San Antonio, Texas.  Damian Mamane has been in the securities industry since the 2000 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 26, 2018, […]

Financial Advisor Shaun Hayes (Merrill Lynch, Pierce, Fenner & Smith) Customer Complaints

The Wolper Law Firm is currently investigating claims against Shaun Hayes, a former Financial Advisor at Merrill Lynch in Fort Worth, Texas.  Jennifer Ling has been in the securities industry since the 2005 and previously worked AXA Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Shaun Hayes has seven […]