Category: Uncategorized

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 […]

Broker’s History Timothy Nathaniel Darnell (“Nathanial Daniel”) (CRD#: 173962) is a dually registered financial advisor and investment advisor with Bankers Life Securities, Inc. in Atlanta, GA. He entered the securities industry in 2016 and has worked for Bankers Life for the entirety of his career in financial services.  Nathaniel Darnell is also an insurance salesman […]

Premium financed life insurance transactions have become more popular in recent years.  From 2008-2020, the United States operated in an artificially low interest rate environment, allowing people to borrow money at historically low rates.  Insurance agents have responded to this phenomenon by selling “large,” previously unaffordable Indexed Universal Life Insurance (IUL) or Whole Life Insurance […]

Yvette Villanueva Barrera (CRD#: 7306089) is a registered investment advisor with Foundations Investment Advisors LLC in New Braunfels, TX. Broker’s History She entered the securities industry in 2020 and previously worked with Texas Financial Advisory. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission (SEC), in April 2024, […]

The Wolper Law Firm is investigating the alleged First Liberty Building and Loan, LLC (“First Liberty”) and Edwin Frost $140 million Ponzi Scheme.  On July 10, 2025, the Securities and Exchange Commission (“SEC”) filed an enforcement proceeding against First Liberty and Edwin Frost for alleged securities fraud. A copy of the Complaint is attached hereto:  […]