Tag: Unsuitable

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 […]

Sean P. Righter (CRD#: 5419832) is a registered investment advisor with One Capital Management, LLC in Newport Beach, CA. Broker’s History He entered the securities industry in 2007 and previously worked with Citigroup Global Markers Inc., and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Dennis Daniel Herrera (CRD#: 4618370) was a previously registered broker. Broker’s History He entered the securities industry in 2003 and previously worked with J.P Turner & Company, LLC; Park Capital Securities, LLC (FINRA expelled the firm in 2005); Hunter Scott Financial LLC (FINRA expelled the firm in 2014); Mercer Capital Ltd.; John Thomas Financial (FINRA […]

Steven Frederick McNeilly (CRD#: 5614719) is a registered investment advisor with Stark Wealth Management, LLC in New York, NY. Broker’s History He entered the securities industry in 2012 and previously worked with American Portfolios Financial Services, Inc., and American Portfolio Advisors, Inc. Allegations of Misconduct According to publicly available records released by the U.S Securities […]

Ali F. Chehab (CRD#: 7625979) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2022 and previously worked with Equitable Advisors, LLC, and Merril Lynch, Pierce, Fenner & Smith Incorporated. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Rajesh Markan (CRD#: 4553309) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2002 and previously worked with IDS Life Insurance Company; Ameriprise Financial Services, Inc.; Citigroup Global Markets, Inc.; Merril Lynch, Pierce, Fenner & Smith Incorporated; and Hilltop Securities, Inc. Current and Past Allegations of Misconduct Leading […]

John Patrick Shortal (CRD#: 2233172) is a registered broker with Moloney Securities Co., Inc., in Jerseyville, IL. Broker’s History He entered the securities industry in 1992 and previously worked with The Equitable Life Assurance Society of the United States; Equico Securities, Inc.; Walnut Street Securities Inc.; Primevest Financial Services, Inc.; Fintegra, LLC; Eagle One Investments, […]

Colleen Maron (CRD#: 2211633) was a previously registered broker and investment advisor. Broker’s History She entered the securities industry in 1992 and previously worked with W.S Griffith & Co., Inc.; WS Griffith Securities, Inc.; Phoenix Equity Planning Corporation; MML Investors Services, LLC; PKS Advisory Services, LLC; and Purshe Kaplan Sterling Investments. Allegations of Misconduct According […]