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Broker’s Background   Mahmoud Elawadi (CRD #: 5319152) was previously registered with Wells Fargo Clearing Services, LLC.  He is based in Orlando, FL. Mahmoud Elawadi has been previously employed by Merrill Lynch, Morgan Stanley, and Morgan Keegan & Co.   Current Allegations of Conduct Leading to Investment Loss   According to publicly available records released […]

Indexed universal life (IUL) insurance is a type of permanent life insurance that ties a portion of its cash value growth to the performance of a stock market index, such as the S&P 500. Unlike traditional whole life insurance, IUL policies offer flexible premiums and the potential for higher returns, at least on paper. Consumers […]

Broker’s Background   Marat Likhtenstein (CRD #: 2470480) was previously registered with Osaic Wealth, Inc. Okuma’s s past employers include Osaic Welath, Inc., Signator Investors, Inc., Park Avenue Securities, LLC, Guardian Investor Servies Corporation, John Hancock Distributors, Inc. and John Hancock Mutual Life Insurance Company.   Current and Past Allegations of Conduct Leading to Investment […]

Broker’s Background   Ejiro Ode Okuma (CRD #: 5774832) was previously registered with Equitable Advisors, LLC. Okuma’s s past employers include Equitable Advisors, LLC and Edward Jones.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2025, […]

Broker’s Background   Jonathon Mark Webster (CRD #: 1286778) was a previously registered broker with FINRA. He’s been previously employed with Aegis Capital Corp., Stifel, Nicolaus & Company, Incorporated, Wells Fargo Clearing Services, LLC, Citigroup Global Markets Inc., Morgan Stanley DW Inc., PaineWebber Incorporated, Shearson Lehman Hutton Inc., E.F. Hutton & Company Inc., Bateman Eichler, […]

Broker’s Background   Lyhen Fiallo (CRD #: 4579582) was registered with PFS Investments Inc. He is located in Hialeah, FL. Current and Past Allegations of Conduct Leading to Investment Loss  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2026, she was sanctioned and barred by FINRA after refusing […]

Broker’s Background   Carmen Dean Morrone (CRD #: 1898874) is registered with Realta Equities, Inc. Camren Morrone is located in Wantagh, NY. Morrone’s past employers include B. Riley Wealth Management, National Securities Corporation, Muriel Siebert & Co., Inc., Investacorp, Inc., Prime Capital Services, Inc., Oppenheimer & Co., Inc., NYLife Securities LLC, Ameriprise Advisor Services, Inc., […]

Broker’s Background   William Brian Candler (CRD #: 2802438) is registered with JCC Capital Markets, LLC. He is located in Overland Park, KS. Candler’s past employers include JCC Advisors, LLC, Connor Capital Investments, LLC, Burch & Company, Inc., Argent Investment Services, Inc., VSR Financial Service, Inc., Cabin Securities, Inc., Cabin Advisors, LLC and JCC Capital […]

Broker’s Background   David Taddeo (CRD #: 1163829) was formerly registered both as a broker and as an investment adviser.  He was previously located in La Mesa, CA.  Taddeo was most recently employed by LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Broker’s Background   Roderick Rodriguez (CRD #:2680445) is registered with Osaic Institutions Inc. He is based in New York, NY. Rodriguez has been previously registered with Citigroup, Essex National Securities, LPL Financial Corporation, IFMG Securities, Invest Financial Corporation, Gruntal & Co, L.L.C. and First Albany Corporation.   Current Allegations of Conduct Leading to Investment Loss […]