Category: Unsuitable

Christopher Hartman is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1988 and previously worked for Kovack Securities, Inc.; TKG Financial, LLC; Morgan Stanley Smith Barney; Citigroup Global Markets, Inc.; Lehman Brothers, Inc.; Smith Barney, Harris Upham & Co., Inc.; and Talley, McNeil & Co., Inc. […]

Robert Nyilas (CRD#: 1030273) is a previously registered Broker. He entered the securities industry in 1982 and previously worked for Lebenthal Financial Services, Inc.; Advisory Group Equity Services, Ltd.; Source Capital Group, Inc.; Gilford Securities Incorporated; Gruntal & Co.; LLC; Herzfeld & Stern, Inc.; E.F. Hutton & Company, Inc. According to publicly available records released […]

Louis Kreisberg (CRD#: 1352881) is a previously registered Broker at Wavecrest Securities, LLC in Brentwood, TN. He entered the securities industry in 1985 and previously worked for Pickwick Capital Partners, LLC; Trump Securities, LLC; Joseph Capital, LLC; United Planners’ Financial Services of America A Limited Partners; John Hancock Mutual LIfe Insurance Company; John Hancock Distributors, […]

The Wolper Law Firm, P.A. 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), […]

The Wolper Law Firm, P.A. is currently investigating claims against William Dumchus, a Financial Adviser at Morgan Stanley in Short Hills, NJ. William Dumchus has been in the securities industry since the 1980s and has worked for Wells Fargo Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October […]

The Wolper Law Firm, P.A. is currently investigating claims against Scott Kaup, a Financial Advisor at Summit Brokerage Services in Stuart, Nebraska. Scott Kaup has been in the securities industry since the 1980s and previously worked at VSR FInancial. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, […]

The Wolper Law Firm, P.A. is currently investigating claims against John Pronovost, a Financial Advisor at Cambridge Investment Research in Watertown, Connecticut. John Pronovost has been in the securities industry since the 1980s and previously worked at MML Investor Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in 2018, […]

The Wolper Law Firm, P.A. is currently investigating claims against Nina Jessee, a former Financial Advisor at Investors Capital Corp and Cetera Advisors in Abingdon, Virginia. Nina Jessee has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 10, 2017, Nina […]

The Wolper Law Firm, P.A. is currently investigating claims against Scott Alan Sanders, a Financial Advisor at Stifel Nicolaus in Ft. Myers, Florida.  Scott Sanders has been in the securities industry since the 1990s and previously worked at Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July […]

The Wolper Law Firm, P.A. is currently investigating claims against Juergen Weber, a former Financial Advisor Benjamin & Jerold Brokerage in New York, NY.  Juergen Weber has been in the securities industry since the 1990s and previously worked at Avalon Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]