Aaron Wagner (CRD# 5663584) is a former financial advisor who was registered with Hornor, Townsend & Kent, LLC and previously associated with AXA Advisors, LLC and Pruco Securities, LLC, with reported office locations including Boise, Idaho and Bellevue, Washington.

Financial Advisor’s Career History
Aaron Wagner entered the securities industry in or around 2009. According to FINRA records, he was registered with AXA Advisors, LLC from August 2009 through February 2013. He later became registered with Pruco Securities, LLC from February 2013 until October 2014. Wagner then joined Hornor, Townsend & Kent, LLC, where he was registered from March 2015 through July 2020. He is not currently registered with any FINRA member firm.

Our firm is investigating Cetera Investment Advisers LLC and Cetera Investment Services LLC broker and investment adviser David Glen Roessner (CRD# 5568932) of Oak Ridge, Tennessee, for potential investment-related misconduct based on multiple customer disputes reported in his FINRA BrokerCheck record.

Financial Advisor’s Career History
David Glen Roessner has been employed in the securities industry since 2009 and has worked for several national and regional firms over the course of his career.
His registration and employment history includes:
SunTrust Investment Services, Inc. – Registered Representative in Knoxville, Tennessee (08/2009–03/2011)
Morgan Stanley Smith Barney / Morgan Stanley Smith Barney LLC – Registered Representative and Investment Adviser Representative in Knoxville, Tennessee (05/2011–12/2011)
Fifth Third Securities, Inc. – Registered Representative and Investment Adviser Representative in Knoxville, Tennessee (05/2013–07/2016)
Fifth Third Bank – Personal Banker, non-investment position, in Knoxville, Tennessee (04/2012–07/2016)
Cetera Investment Advisers LLC – Investment Adviser Representative, based in Oak Ridge, Tennessee (08/2016–Present)
Cetera Investment Services LLC – Registered Representative with a branch at 101 N Rutgers Ave, Oak Ridge, Tennessee 37830 (08/2016–Present)
Regions Bank – Registered Representative, Oak Ridge, Tennessee (08/2016–Present)

Our firm is investigating Emerson Equity LLC broker and investment advisor John Paul Ledesma (CRD# 2379751) of Irvine, California for potential real estate securities–related misconduct, including alleged fraud, negligence, and violations of federal and state securities laws.
Financial Advisor’s Career History
According to FINRA’s BrokerCheck report, John Paul Ledesma has been registered in the securities industry since 1993 and is currently associated with Emerson Equity LLC. He works out of the firm’s branch office located at 9870 Research Drive, #104, Irvine, CA 92618, and has been registered with Emerson Equity LLC since May 6, 2021.
Ledesma’s reported registration and employment history includes:
Emerson Equity LLC – Registered Representative (San Mateo / Irvine, CA) – 05/2021–Present
Capulent LLC – Registered Representative (Irvine, CA) – 01/2019–05/2021
Sutter Capital Partners, LLC – Investment Advisor (Irvine, CA) – 03/2019–05/2021
Independent Financial Group, LLC – Registered Representative / Investment Adviser (Mission Viejo, CA) – 02/2017–03/2017
Atlanta-One, Inc. – Registered Representative – 10/1993–11/1994

Our firm is investigating Aurora Securities broker and investment adviser Roger William Bowlin (CRD# 1905652) of Kirkland, Washington for potential investment-related misconduct.
Financial Advisor’s Career History
According to publicly available FINRA BrokerCheck records, Roger William Bowlin has worked in the securities industry since 1988 and is currently registered as a General Securities Representative with Aurora Securities (CRD# 46147) and as an Investment Adviser Representative with Secure Asset Management, L.L.C. (CRD# 144046). Both firms list office locations at 650 NE Holladay Street, Suite 1600, Portland, Oregon, while Bowlin’s Form U4 employment history identifies his role with these firms as based in Kirkland, Washington.
Bowlin has been registered with Aurora Securities since April 30, 2021, and with Secure Asset Management, L.L.C. since June 4, 2021. Before joining these firms, he was associated with Concorde Asset Management, LLC and Concorde Investment Services, LLC from 2016 to 2021, Independent Financial Group, LLC from 2008 to 2016, ePlanning Securities, Inc. and ePlanning Advisors Inc. from 2007 to 2008, Pacific West Financial Consultant Inc. and Pacific West Securities, Inc. from 2000 to 2007, Pacific Harbor Securities, Inc. from 1994 to 2000, Investment Management & Research, Inc. from 1993 to 1994, Laney & Company from 1990 to 1992, and Halliday Capital Partners, Inc. from 1988 to 1989.

Our firm is investigating Prospera Financial Services, Inc. broker and investment adviser Nicholas David Olivas (CRD# 6803146) of Irvine, California for potential investment-related misconduct.

Financial Advisor’s Career History
According to FINRA BrokerCheck, Nicholas David Olivas (CRD# 6803146) has been licensed in the securities industry since 2017 and has worked as both a broker and investment adviser in California and Texas. His registration and employment history includes:
10/2025 – Present: Prospera Financial Services, Inc. – Registered Representative / Investment Adviser Representative, Dallas, TX (branch office Irvine, CA)
11/2024 – 11/2025: LPL Financial LLC – Registered Representative / Investment Adviser Representative, Irvine / Newport Beach, CA
03/2022 – 11/2024: Raymond James & Associates, Inc. – Registered Representative / Financial Advisor, Newport Beach, CA
08/2020 – 03/2022: Oppenheimer & Co. Inc. – Financial Advisor, Newport Beach, CA
05/2017 – 08/2020: Merrill Lynch, Pierce, Fenner & Smith Incorporated – Financial Advisor, Brea, CA
01/2018 – 02/2020: Bank of America, N.A. – Financial Advisor, Brea, CA (bank affiliate role)

Daniel Patrick Corey (CRD# 6319568) is a financial advisor and stockbroker currently registered with Bankers Life Securities, Inc. and Bankers Life Advisory Services, Inc. in Portland, Oregon, and our firm is investigating him for potential investment-related misconduct involving alleged unsuitable annuity and insurance recommendations and related sales practice violations.

Financial Advisor’s Career History
Daniel Patrick Corey has spent his securities and insurance career primarily with the Bankers Life family of companies and a prior broker-dealer affiliate.
Since May 2016, Corey has been registered as a General Securities Representative and Investment Company and Variable Contracts Representative with Bankers Life Securities, Inc. (CRD# 173962), currently working from a branch office at 6135 NE 80th Ave, Unit A5, Portland, Oregon. He also became approved as a General Securities Principal in January 2020.

Since February 2019, he has been registered as an Investment Adviser Representative with Bankers Life Advisory Services, Inc. (CRD# 281285).
His employment history also shows that he has worked with Bankers Life & Casualty Company in insurance roles since 2012, selling and servicing long-term care, life, Medicare supplement, annuity, and equity-indexed annuity products.
From September 2014 to May 2016, Corey was previously registered as a broker with ProEquities, Inc. (CRD# 15708) in Portland, Oregon.

Our firm is investigating Osaic Wealth, Inc. broker and financial advisor Lei Wang (CRD# 2626500) of West Palm Beach, Florida for potential investment-related misconduct.
Financial Advisor’s Career History
Lei Wang has been in the securities industry since the mid-1990s and has worked for several national brokerage and insurance firms over the course of her career. Her current and prior registrations reported on FINRA BrokerCheck include:
Osaic Wealth, Inc. (CRD# 23131) – Scottsdale, Arizona / West Palm Beach, Florida branch
General Securities Representative and Investment Adviser Representative
Registered since January 24, 2025
Osaic FA, Inc. (CRD# 3978) – Hartford, Connecticut
Investment adviser representative and broker
Approximately May 2001 – January 2025
The Lincoln National Life Insurance Company (CRD# 2580) – Fort Wayne, Indiana
Broker
Approximately May 2001 – March 2006
Aetna Investment Services, LLC (CRD# 34815) – Windsor, Connecticut
Broker
Approximately June 2000 – May 2001 and August 1995 – January 2000
Financial Network Investment Corporation (CRD# 13572) – El Segundo, California
Broker
Approximately July 1999 – December 2000
Aetna Financial Services, Inc. (CRD# 13255) – Hartford, Connecticut
Broker
Approximately April 1997 – January 2000 and June 2000 – September 2000

Our firm is investigating Emerson Equity LLC broker and investment adviser John Paul Ledesma (CRD# 2379751) of Irvine, California for potential investment-related misconduct.

Financial Advisor’s Career History

According to publicly available FINRA BrokerCheck records, John Paul Ledesma has been registered as a General Securities Representative with Emerson Equity LLC (CRD# 130032) since May 6, 2021, working out of a branch office located at 9870 Research Drive, Suite 104, Irvine, California.
Before joining Emerson Equity LLC, Ledesma was associated with several other securities firms. He was registered with Capulent LLC in Irvine, California from January 2019 to May 2021 and with Sutter Capital Partners, LLC from March 2019 to May 2021. Earlier in his career, he briefly worked with Independent Financial Group, LLC in Mission Viejo, California in 2017 and previously held a registration with Atlanta-One, Inc. in the 1990s.

Our firm is investigating Arkadios Capital broker and investment adviser Ronald N. York Jr. (CRD# 4308987) of Wall, New Jersey for potential investment-related misconduct involving allegedly unsuitable alternative investments and private placement recommendations.
Financial Advisor’s Career History
Ronald N. York Jr. (CRD# 4308987) is currently registered as a broker with Arkadios Capital (CRD# 282710) and as an investment adviser representative with Arkadios Wealth Advisors (CRD# 288863). He has been associated with both firms since April 30, 2019, and works from a branch office located at 4814 Outlook Drive, Suite 104, Wall, New Jersey.
York has spent his career in the securities industry working for a series of national and regional firms, including:
Arkadios Capital / Arkadios Wealth Advisors – Registered representative and investment adviser representative, based out of Wall, New Jersey with main offices in Atlanta, Georgia (2019–present).
Triad Advisors LLC / Triad Advisors, LLC (CRD# 25803) – Registered representative and investment adviser representative from approximately March 2014 through April 2019, working out of Wall, New Jersey and affiliated with the firm’s offices in Georgia.
New England Securities / New England Securities Corporation (CRD# 615) – Registered representative and later investment adviser representative in Wall Township, New Jersey from about March 2011 through March 2014.
Barclays Capital Inc. (CRD# 19714) – Registered representative in New York, New York from January 2010 through February 2011.
LaBranche & Co. LLC (CRD# 32661) – Registered representative in New York, New York from October 2001 through January 2010.
Bocklet & Company, LLC (CRD# 45455) – Registered representative in New York, New York from October 2000 through October 2001.

Our firm is investigating Stifel, Nicolaus & Company, Incorporated financial advisor Timothy Darragh (CRD# 1897635) of Chicago, Illinois for potential investment-related misconduct.
Financial Advisor’s Career History
Timothy Darragh has worked in the securities industry since the late 1980s and is currently registered as a broker and investment adviser representative with Stifel, Nicolaus & Company, Incorporated (CRD# 793). He has been registered with Stifel since February 25, 2016 and is based in the firm’s Chicago, Illinois branch office at One North Wacker, Suite 3400.
Before joining Stifel, Mr. Darragh spent more than a decade at Credit Suisse Securities (USA) LLC (CRD# 816) in Chicago, Illinois, where he was registered as both a broker and investment adviser from January 2003 through March 2016. During part of that time (2014–2016), he also reported employment with Credit Suisse Lending LLC in Chicago.