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), […]

Broker and investment adviser Darryl Cohen (CRD#: 2786613) has been employed by member firm Morgan Stanley since 2015. According to publicly available information released by the Financial Industry Regulatory Authority (FINRA), on November 18, 2020, a customer dispute was made against Darryl Cohen for allegedly misappropriating funds from the client’s account. A total of $480,000.00 […]

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 […]

Glenn Yarbrough (CRD # 1695281) is a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Daytona Beach, FL. Glenn Yarbrough has been in the securities industry since 1987 and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Glenn Yarbrough has been the […]

Steven Dale Rodemer (CRD # 830561) was a Financial Advisor at Stifel, Nicolaus & Company, Incorporated in Pueblo, CO. Steven Rodemer has been in the securities industry since 1976 and previously worked for a number of brokerage firms, including Sanders Morris Harris Inc., Cascade Investment Group, Inc. and Salomon Smith Barney Inc. According to publicly […]

Mark Christopher Perry (CRD # 2197284) was a Financial Advisor at Brokers International Financial Services, LLC in Urbandale, IA. Mark Perry has been in the securities industry since 1992 and was previously registered with AXA Advisors, LLC, Next Financial Group, Inc., PRUCO Securities, LLC and The Prudential Insurance Company of America. According to publicly available […]

David Aaron Rockwell (CRD # 4236377) was a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL.  David Rockwell has been in the securities industry since since 2000 and previously worked at SunTrust Investment Services, Inc., Fifth Third Securities, Inc. and Comerica Securities. According to publicly available records released by the Financial Industry […]

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 […]

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 […]