Tag: Unsuitable

Broker’s Background   Carmen Dean Morrone (CRD #: 1898874) is registered with Realta Equities, Inc. Camren Morrone is located in Wantagh, NY. Morrone’s past employers include B. Riley Wealth Management, National Securities Corporation, Muriel Siebert & Co., Inc., Investacorp, Inc., Prime Capital Services, Inc., Oppenheimer & Co., Inc., NYLife Securities LLC, Ameriprise Advisor Services, Inc., […]

Broker’s Background   William Brian Candler (CRD #: 2802438) is registered with JCC Capital Markets, LLC. He is located in Overland Park, KS. Candler’s past employers include JCC Advisors, LLC, Connor Capital Investments, LLC, Burch & Company, Inc., Argent Investment Services, Inc., VSR Financial Service, Inc., Cabin Securities, Inc., Cabin Advisors, LLC and JCC Capital […]

Broker’s Background   David Taddeo (CRD #: 1163829) was formerly registered both as a broker and as an investment adviser.  He was previously located in La Mesa, CA.  Taddeo was most recently employed by LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Broker’s Background   Roderick Rodriguez (CRD #:2680445) is registered with Osaic Institutions Inc. He is based in New York, NY. Rodriguez has been previously registered with Citigroup, Essex National Securities, LPL Financial Corporation, IFMG Securities, Invest Financial Corporation, Gruntal & Co, L.L.C. and First Albany Corporation.   Current Allegations of Conduct Leading to Investment Loss […]

Broker’s Background   Betsy Lou Whipple (CRD #: 2703262) is registered with Osaic Wealth Inc. She is based in Hiko, NV. Betsy Lou Whipple has been previously employed by Newbridge Securities, M.S. Howells & Co, MSH Capital Advisors LLC, Greenleaf Financial Network LLC, Merrill Lynch, Morgan Stanley, Bear, Stearns & Co Inc, and PaineWebber Incorporated. […]

Victor Carmine Sibilla (CRD#: 1783361) is a registered broker with Westpark Capital, Inc. in Boca Raton, Florida. Broker’s History He entered the securities industry in 1988 and previously worked with The Stuart-James Company, Incorporated; RAF Financial Corporation; VTR Capital, Inc., (FINRA Expelled this firm in 2001); Joseph Charles & Assoc., Inc.; Sterling Financial Investment Group, […]

Joshua Aaron Green (CRD#: 4970616) is a registered broker and investment advisor with Cetera Investment Services, LLC, in New Port Richey, FL. Broker’s History He entered the securities industry in 2005 and previously worked with Intersecurities, Inc.; Wamu Investments, Inc.; Fifth Third Securities, Inc.; Wells Fargo Advisors, LLC; Suntrust Investment Services, Inc.; and BB&T Investment […]

Janet Franco Gordon (CRD#: 1114409) is a registered broker and investment advisor with Raymond James & Associates, Inc., in Coral Gables, FL. Broker’s History She entered the securities industry in 1983 and previously worked with Drexel Burnham Lambert Incorporated; Citigroup Global Markets, Inc.; and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment […]

Richard Allen Ceffalio Jr. (CRD#:2619565) is a registered investment advisor with Newedge Advisors in Arlington Heights, IL. Broker’s History He entered the securities industry in 1995 and previously worked with Citicorp Investment Services; A.G. Edwards & Sons, Inc.; Wachovia Securities, LLC; UBS Financial Services, Inc.; Wells Fargo Clearing Services, LLC; and LPL Financial LLC. Current […]

Richard John Urciuoli (CRD#: 1239283) is a registered investment advisor with Summit Planning Group, Inc. in E. Syracuse, NY. Broker’s History He entered the securities industry in 1984 and previously worked with MHA Financial Corp.; Linsco Financial Group, Inc.; and LPL Financial LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to […]