Stephen J. Klinger (CRD # 1294139) was a Financial Advisor at Well Fargo Clearing Services, LLC in Asheville, NC.  Stephen Klinger has been in the securities industry since 1985 and previously worked at Wachovi Securities, Fortis Investors, Merrill Lynch, The Robinson-Humphrey Company, Edward Jones and Shearson Lehman Brothers. According to publicly available records released by […]

Michael Barry Carter (CRD # 3232017) is a former Financial Advisor at Morgan Stanely in McLean, VA.  Michael Carter has been in the securities industry since 1999 and previously worked at Ameriprise, Merril Lynch, Financial Network Investment Corporation and Dean Witter Reynolds.  On July 20, 2020, the Securities and Exchange Commission (SEC) filed a complaint […]

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 […]

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

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, […]

Bruce C. Worthington is a former Financial Advisor at Founders Financial Securities LLC in Middleton, MA.  Bruce Worthington has been in the securities industry since 1992 and previously worked at PFS Investments, Inc. in Duluth, GA and Commonwealth Financial Network in Rowley, MA. According to publicly available records released by the Financial Industry Regulatory Authority […]

The Wolper Law Firm, P.A. is currently investigating claims against Thomas Lee Johnson, a former Financial Adviser at RBC Capital Markets, LLC in Indianapolis, IN.  Thomas Lee Johnson has been in the securities industry since 1983 and previously worked at Citigroup Global Markets, Inc.    According to publicly available records released by the Financial Industry […]

The Wolper Law Firm, P.A. is currently investigating claims against John Cutshall, a Financial Advisor at Lombard Securities Corp. in Baltimore, Maryland.  John Cutshall has been in the securities industry since the 1970s and previously worked at Morgan Stanley According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 10 […]