Ma Rosa Linan Abrego (CRD # 6122105) was a Financial Advisor at Merrill Lynch in McAllen, Texas.  Ma Rosa Linan Abrego has been in the securities industry since 2016 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 […]

Thomas Marino (CRD # 4438533) was a Financial Advisor at R.M. Stark & Co. in Delray Beach, FL.  Thomas Marino has been in the securities industry since 2001 and previously worked at JW Cole Financial and Newbridge Securities Corp.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 18, […]

Timothy E. Johnson (CRD # 5701828) was a Financial Advisor at Mass Mutual Investorrs Services in Lawrenceville, Georgia.  Timothy E. Johnson has been in the securities industry since 2009 and previously worked at Suntrust Investment Services and PNC Investments.         According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July […]

Erik Pica (CRD # 4829533) is a Financial Advisor at Joseph Stone Capital in New York, NY.  Erik Pica has been in the securities industry since 2004 and previously worked at Global Arena Capital Corp. and First Midwest Securities.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2019, […]

Scott Andersen (CRD # 4412679) is a Financial Advisor at Wedbush Secureities in Roseville, California.  Scott Andersen has been in the securities industry since 2001 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2019, a customer filed a complaint against Scott Andersen, […]

Frederick Stow (CRD # 864436 ) was a Financial Advisor at Raymond James & Associates, Inc. in Franklin, TN. Frederick Stow has been in the securities industry since 1979 and previously worked at Wells Fargo Advisors, LLC and Suntrust Investment Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Benjamin Bourgeois was formerly a Financial Advisor at Commonwealth Financial Network in Metanie, Louisiana.  Benjamin Bourgeois has been in the securities industry since 1991 and previously worked at LPL Financial and Sterne, Agee & Leach, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 28, 2019, FINRA […]

Edward Matthes was a Financial Advisor at Mutual of Omaha Investor Services, Inc. in Oconomowoc, Wisconsin.  Edward Matthes entered the securities industry in 1996 and previously worked at Thrivent Investment Management and MML Investors Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Edward Matthes has a long history of […]

Erin Verespy is a former Financial Advisor at HD Vest Investment Services in Trumbull, CT.  Erin Verespy has been in the securities industry since 1996 and previously worked at Bankboston Investor Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 15, 2019, Erin Verespy was sanctioned by FINRA, […]

The Wolper Law Firm, P.A. is currently investigating claims against Kristian Gaudet, a former Financial Adviser at Ameritas Investment Corp. in Cut Off, Louisiana. Kristian Gaudet has been in the securities industry since 2000 and previously worked at The Advisors Group.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]