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William Henry Sandeman (CRD# 831384) of Seattle, Washington was a registered representative with Wedbush Securities Inc. from December 2000 to January 2025. According to his FINRA BrokerCheck report, FINRA permanently barred Sandeman on October 5, 2026. FINRA found that he recommended that 81 retail customers buy and hold volatility-linked and non-traditional exchange-traded products (ETPs) as […]

Most investors assume that if no one has their password, their brokerage account is safe. ACAT fraud proves otherwise. A thief never has to log into your account. Using your stolen personal information, the thief opens a new account in your name at a different brokerage firm and asks that firm to “pull” your assets […]

Ronald Albert Gelok Jr. (CRD# 1403352) is registered as a broker with AAG Capital, Inc. and as an investment adviser representative with Ronald Gelok & Associates, LLC, both in Naples, Florida. According to his FINRA BrokerCheck report, BrokerCheck lists three customer disputes, two pending and one settled. All three involve life insurance and/or annuity products. […]

Adviser’s Background Parker Terrill Austin (CRD #: 6270114) has 12 years of industry experience and was previously registered as both an investment adviser and a broker. He was most recently associated with Embarcadero Capital Advisors, Inc. (CRD #: 329285) in San Francisco, CA, from January 10, 2024 to August 25, 2026. Austin’s registration history also […]

Broker’s Background   John Richard Brodacki III (CRD #: 4384857) was registered with Bay Colony Advisory Group, Inc. as a broker and investment advisor. John’s past employers include IDS Life Insurance Company, American Express Financial Advisors Inc., Equity Services, Inc., Asset Strategy Advisors, LLC and Bay Colony Advisors.   Current and Past Allegations of Conduct […]

John Sterling Myers (CRD#: ) is an investment advisor at Sterling Capital, LLC and Sterling Capital Management, LLC in Chicago, IL. Broker’s Background John Sterling Myers founded Sterling Capital, LLC in 2013. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the U.S. Securities and Exchange Commission […]

Richard James Roberts (CRD#: 2145874) is a registered Broker at TCFG Wealth Management, LLC in Laguna Niguel, CA. Broker’s Background Richard James Roberts entered the securities industry in 2004 and previously worked at USA Advanced Planners Inc., Hartford Life Distributors, LLC and Cambridge Investment Research, Inc. Current And Past Allegations Of Conduct Leading To Investment […]

Broker’s Background   Brady Thomas Lipp (CRD #: 1359835) is registered with NI Advisors. He is located in Milpitas, CA. Lipp’s past employers include NI Advisors, Great Point Capital LLC, David A. Noyes & Company, ALPS Distributors, Inc., Taglich Brothers, Inc., Quasar Distributors, LLC, Jesup & Lamont Securities Corp, Credit Suisse Asset Management Securities, Inc., […]

The Wolper Law Firm and Doss Law Firm, LLC are investigating the alleged fraudulent “pump and dump” scheme involving Ostin Technology Group Co., Ltd., which trades under the stock ticker OST (hereinafter, the “OST Pump and Dump Scheme”).  Ostin Technology Group is a company engaged in the manufacturing of display modules used in consumer electronics, […]

The Wolper Law Firm represents investors around the country who have lost money as a result of failed investment strategies or products.  If a brokerage firm, investment adviser or other financial services industry professional recommended inappropriate investments, or failed to conduct adequate due diligence of recommended investment products, you may have a viable claim for […]