Tag: Unsuitable

Brian Lee Culver (CRD#: 6392736) is a registered broker and investment advisor with Cambridge Investment Research, Inc. in Kalamazoo, MI.   Broker’s History He entered the securities industry in 2015 and has worked with Cambridge Investment research Inc.,   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Michael William Risko (CRD#: 1975573) is a registered broker and investment advisor with Osaic Institutions, Inc., in Hyde Park, NY. Broker’s History He entered the securities industry in 1989 and previously worked with Invest Financial Corporation; Oppenheimerfunds Distributor, Inc.; Reliastar Financial Marketing Corp.; Washington Square Securities, Inc.; Fortis Investors, Inc.; AIM Distributors, Inc.; AIM Private […]

Barry Todd Eisenberg (CRD#: 2313107) and Philip Noto (CRD#: 4837180) were both registered brokers at Alexander Capital, L.P., in New York. Broker’s History Barry Eisenberg entered the securities industry in 1993, and previously worked with Royce Investment Group, Inc.; Marlowe & Company (FINRA expelled the firm in 2001); Clearing Services of America, Inc.; DIF Securities […]

Stephen Herman Wedel (CRD#: 1221992) is a registered broker and investment advisor with Private Client Services, LLC in Naples, FL   Broker’s History He entered the securities industry in 1984 and previously worked with First Investors Corporation; Veravest Investment Advisors, Inc.; and LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment […]

Peter Goffin (CRD#: 1617710) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1987 and previously worked with Commvest Securities; JW Charles Securities; Wachovia Securities Financial Network, LLC; and Newbridge Securities Corporation Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Patrick Dean Louise (CRD#: 5810428) is a registered broker and investment advisor with LPL Financial LLC, in Woodstock, IL. Broker’s History He entered the securities industry in 2010 and previously worked with Fifth Third Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

Gihan Anil Fernando (CRD#: 4469669) is a registered broker and investment advisor with Cetera Investment Services, LLC in Houston, TX. Broker’s History He entered the securities industry in 2002 and has worked with Morgan Staney DW Inc.; Morgan Stanley; Bok Financial Securities; and Bok Financial Advisors. Current and Past Allegations of Conduct Leading to Investment […]

Moloney Securities (CRD# 38535) is a registered brokerage firm in Manchester, MO. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2024, the Securities and Exchange Commission (Commission) deemed it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are […]

Robert Morgan Vance (CRD#: 1887560) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1988 and previously worked with DreamWest Securities Corporation (FINRA expelled the firm in 1994); IDS Life Insurance Company; American Express Financial Advisors, Inc.; SunAmerica Securities, Inc.; Macken Securities, Inc.; World Choice Securities, Inc.; BFT […]

Bert Kenji Takita, Jr. (CRD#: 5852632) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2010 and previously worked with Equitable Advisors, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2024, without admitting or denying the findings, […]