Joseph Todaro (CRD#: 5708585) is a registered Broker at SW Financial in Melville, NY. He entered the securities industry in 2012 and previously worked for Worden Capital Management LLC; Spartan Capital Securities, LLC; Laidlaw & Company (UK) LTD; Craig Scott Capital, LLC; Rockwell Global Capital, LLC; and EKN Financial Services, Inc. According to publicly available […]

Christopher Orlando (CRD#: 4136262) was a previously registered Broker at Spartan Capital Securities, LLC in New York, NY. He entered the securities industry in 2002 and previously worked for St. Bernard Financial Services, Inc.; Worden Capital Management, LLC; Legend Securities, Inc.; National Securities Corporation; Joseph Gunnar & Co., LLC; Brookstone Securities, Inc.; J.P. Turner & […]

Kishan Parikh (CRD#: 5506554), also known as Sean Parikh, was a previously registered Broker at Aegis Capital Corp. in New York, NY. He entered the securities industry in 2008 and previously worked for Max International Broker/Dealer Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA initiated […]

Paul McGonigle (CRD#: 1220690) was a previously registered Broker at LPL Financial, LLC in New Bedford, MA. He entered the securities industry in 1983 and previously worked for SII Investments, Inc; Royal Alliance Associates, Inc.; Integrated Resources Equity Corporation; IDS Financial Services, Inc.; and American Express Financial Advisors, Inc. According to publicly available records released […]

The Wolper Law Firm, P.A. is currently investigating claims against Merrill Lynch’s based on its sales practices with regard to Unit Investment Trusts (UITs) and, specifically, the sales practices of Merrill Lynch James Financial Advisors, Kelly Feehrer and Scott Mathews. Kelly Feehrer has been in the securities industry since 1986 and Scott Matthews has been […]

Edmund Zack (CRD#: 2215116) was a previously registered broker at Dawson James Securities, Inc., in New York, NY. He entered the securities industry in 1992 and previously worked for Benchmark Investments, Inc.; Western International Securities, Inc.; Aegis Capital Corp.; National Securities Corporation; J. H. Darbie & Co., Inc.; Carlin Equities Corp.; GKN Securities Corp.; and […]

While some investors choose to develop an investment portfolio because they enjoy the challenge of navigating the ups and downs of the stock market, others rely on theirs for financial growth and future security. And even though financial advisors typically tend to the day-to-day handling of customer accounts with the clients’ best interests in mind, […]

Arthur Obermeier (CRD No. 350245), was a Financial Advisor with LPL Financial LLC. LPL filed a Uniform Termination Notice of Securities Industry Regulation (Form U5) on May 23, 2019; the reason stated for Arthur Obermeier’s discharge was “[e]xercising discretion in client accounts without authorization.” Upon FINRA’s review of the document, the agency moved to action. […]

Angel Bardeche (CRD#: 4698117) is a former broker and investment adviser who was employed by Ameriprise Financial Services, Inc. from 2012-2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA) on January 6, 2021, Angel Bardeche received a civil penalty of $10,000, disgorgement of $5,000, and a 9-month Suspension  beginning January […]

Kurt Gunter (CRD # 2747789) was a Financial Advisor at Wells Fargo Advisors in Bee Cave, Texas. Kurt Gunter has been in the securities industry since 1996 and previously worked at Stifel, Nicolaus & Co. and Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on Novbember 20, 2020, […]