Tag: Unsuitable

Angelo Frank Anello (CRD#: 2835091) is a registered broker and investment advisor at LPL Financial LLC in Needham, MA 02494   Broker’s Background He entered the securities industry in 1997 and previously worked with Salomon Smith Barney Inc.; Dreyfus Service Corporation; Quick & Reilly, Inc.; Banc of America Investment Services, Inc.; and Citigroup Global Markets […]

David Bruce McMillen (CRD#: 1198070) is a registered broker and investment advisor at Capital Securities, L.P in Boulder, CO.   Broker’s Background   He entered the securities industry in 1983, and previously worked with First Investors Corporation; Interfinancial Securities, Inc.; The Equitable Life Assurance Society of the United States; Equico Securities, Inc.; The Lincoln National […]

Brian Campion Stern (CRD#: 3137402) is a registered broker and investment advisor with OSAIC Wealth, Inc. in Rochester, MN.   Broker’s Background He entered the securities industry in 1998 and has previously worked with Transamerica Financial Advisors, Inc.; and Signator Investors, Inc.   Allegations of Misconduct According to publicly available records released by the Financial […]

Andrew David Schell (CRD#:6536347) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2015 and previously worked for Merril Lynch, Pierce, Fenner & Smith Incorporated and D.A Davidson & Co. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

James Eric Monken (CRD#:5765921) is a registered broker and investment advisor at Morgan Stanley in Clayton, MO. Broker’s Background He entered the securities industry in 2010 and previously worked for Morgan Keegan & Company, Inc. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

William Colin Seibert (CRD#: 2710335) is a registered broker and investment advisor at Raymond James & Associates, Inc., in Houma, LA. Broker’s Background He entered the securities industry in 1996, and previously worked for Bank United Securities Corp.; Pritchard Capital Partners, LLC (FINRA expelled the firm in 2012); Wells Fargo Brokerage Services, LLC; Wells Fargo […]

James Ward Margraf (CRD#: 6517554) is a registered investment Advisor at Latour Asset Management LLC in Springfield, MO. He is also a previously registered broker. Broker’s Background He entered the securities industry in 2015 and previously worked for Gradient Advisors, LLC, and Center Street Securities, Inc. Current Allegations of Conduct Leading to Investment Loss According […]

The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of Auto-callable Structured Notes.  The Financial Advisor responsible for the recommendations is Jorge Menendez (CRD #5138358).   Broker’s Background     Jorge Menendez has been registered with Citigroup as a Financial Advisor since 2013.  He […]

Michael Joseph Murray (CRD#:5034449) is a registered broker at LaidLaw & Company (UK) LTD., in New York, NY. Broker’s Background He entered the securities industry in 2005 and previously worked for Casimir Capital L.P.; and Aegis Capital Corp. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Richard G. Michalski (CRD#: 4588706) is a registered broker for LaidLaw & Company (UK) Ltd., in New York, NY. Broker’s Background Richard Michalski entered the securities industry in 2002 and previously worked for Kuhns Brothers Securities Corporation; Casimir Capital L.P; and Aegis Capital Corp. Allegations of Misconduct According to publicly available records released by the […]