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Rudy Anguiano (CRD# 5188950) was previously registered as a broker with LPL Financial LLC in Brea, California. According to his FINRA BrokerCheck report, FINRA has barred him from acting as a broker or associating with any FINRA member firm in all capacities. FINRA found that Anguiano converted $1,731,000 from two LPL customers by moving their […]

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. […]

Gerald James Page (CRD# 7577838) was previously registered as a broker with NYLife Securities LLC in Horsham, Pennsylvania. According to his FINRA BrokerCheck report, FINRA has barred him from acting as a broker or associating with any FINRA member firm. Broker’s History BrokerCheck shows one prior registration, with NYLife Securities LLC (CRD# 5167), from September […]

Larry David Nelson (CRD# 2275834) is a financial advisor with Ameriprise Financial Services, LLC in Salinas, California. According to his FINRA BrokerCheck report, Nelson is registered as both a broker and an investment adviser, and his SEC IAPD report lists him as an investment adviser. Broker’s History BrokerCheck shows Nelson has been in the securities […]

Jeremiah Edward Householder (CRD#: 7063145) was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to his FINRA BrokerCheck report, Householder is not currently registered as a broker or investment adviser. Broker’s History Householder’s BrokerCheck report shows one prior registration, with Merrill Lynch, Pierce, Fenner & Smith Incorporated, from March 2019 to November […]

William Nicholas Pugh (CRD#: 4855771) was previously registered as a broker with Columbia Capital Securities, Inc. in Los Angeles, California. According to his FINRA BrokerCheck report, FINRA has suspended Pugh from acting as a broker. Broker’s History Pugh entered the securities industry in 2004 and has been registered with three firms: Charles Schwab & Co., […]

Dustin Allen Smith, a Naples, Florida-based broker currently registered with Citizens Securities, Inc., is the subject of a pending FINRA arbitration claim alleging unsuitable investment recommendations and account overconcentration. According to his FINRA BrokerCheck report, Smith has been registered in the securities industry since 1996 and has worked for UBS Financial Services Inc., RBC Capital […]

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 […]

Investors who purchased White River tax credits may face two financial problems: the loss of their investment and unexpected federal tax liabilities. An IRS rejection can lead to back taxes, interest, and IRS penalties, making a prompt, organized response important. Wolper Law Firm has published information concerning one advisor-related inquiry and a separate advisor investigation. […]