Reported instances of broker theft out of customer accounts are on the rise, and the move to all-online access to brokerage accounts and transactions may be making it easier for unethical financial advisors to act. So what can you do to reduce the chances that your financial advisor has access to your outside bank accounts, […]

John Swon IV (CRD#: 5591686) was a previously registered Broker and Investment Advisor at Royal Alliance Associates, Inc., in Bloomington, IN. He entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Edward Jones; and RBC Capital Markets Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Manish Shah (CRD#: 4652835), also known as Manish H. Shah and Manish Hemant Shah, is a previously registered Investment Advisor who worked for Northwestern Mutual Investment Services, LLC from 2003 until 2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2021, FINRA suspended Manish Shah for 20 months […]

Sean Refsnider (CRD # 4762963) was a Financial Advisor at Ameriprise Financial Services, Inc. in Haddon Hgts, NJ. Sean Refsnider has been in the securities industry since 2004 and was also registered at Ameriprise Financial Services, Inc in Voorhees, NJ and IDS Life Insurance Company in Minneapolis, MN. According to publicly available records released by […]

Ronald Hannes (CRD # 1462241) was a Financial Advisor at Woodbury Financial Services, Inc. in Spokane, WA. Ronald Hannes has been in the securities industry since 1986 and was registered at Fortis Investors, Inc., Amev Investors, Inc., and BLN Investment Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Matthew Clason (CRD # 4692266) is a Financial Advisor at LPL Financial LLC in Glastonbury, CT. Matthew Clason has been in the securities industry since 2004. He was also a registered broker at Lincoln Financial Advisors Corporation and American General Securities Incorporated during his career. According to publicly available records released by the Financial Industry […]

Raymond Ferro, Jr. aka Ray Ferro (CRD # 1927831) was a Financial Advisor at Woodbury Financial Services in Danbury, Connecticut. Raymond Ferro, Jr. aka Ray Ferro began in the securities industry since 1997 and previously worked at NEXT Financial Group and LPL Financial Corp. The Wolper Law Firm, P.A. has been retained by clients, who […]

Matthew Muratori (CRD # 625563) was a Financial Advisor at Pruco Securities in Tampa, FL. Matthew Muratori has been in the securities industry since 2017 and previously worked at Foresters Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 8, 2020, FINRA sanctioned Matthew Muratori, barring him […]

Pratul Agnihotri, (CRD # 4031797) was a Financial Advisor at Spartan Capital Securities and Aegis Capital Corp in New York, NY and Melville, NY, respectively.  Pratul Agnihotri has been in the securities industry since 1999 and previously worked at Gunallen Financial and four other brokerage firms that have been expelled from the securities industry. According […]

Marcus Boggs (CRD # 5055667) was a Financial Advisor at Merrill Lynch in Chicago, Illinois.  Marcus Boggs has been in the securities industry since 2006 and has spent the entirety of that time period with Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 11, 2019, FINRA […]