Our firm is investigating Emerson Equity LLC broker and certified financial planner Bruce Robert Beetz (CRD# 1527269) of Hollister, California for potential investment-related misconduct involving allegedly unsuitable recommendations in corporate debt and real estate securities.
Financial Advisor’s Career History
Bruce Robert Beetz (CRD# 1527269) is currently registered as a General Securities Principal and General Securities Representative with Emerson Equity LLC (CRD# 130032). He has been registered with Emerson Equity LLC since November 4, 2019 and is based out of a branch office in Hollister, California, with the firm’s main office in San Mateo, California.
Beetz has spent decades in the securities industry. According to his BrokerCheck report, he was previously registered with:
Oak Tree Securities, Inc. (CRD# 18126) in Paicines/Hollister, California, as a broker from April 2001 to November 2019 and as an investment adviser representative from December 2008 to November 2019.
Royal Alliance Associates, Inc. (CRD# 23131) in Scottsdale, Arizona, from January 1991 to March 2001.
Security First Financial, Inc. (CRD# 6695) in Newport Beach, California, from June 1986 to January 1991.

Our firm is investigating Landolt Securities, Inc. broker and investment adviser representative Donald Trendley McKiernan (CRD# 1305965) of Lake Bluff, Illinois for potential investment-related misconduct.
Stockbroker’s Career History
According to his FINRA BrokerCheck report, Donald Trendley McKiernan (CRD# 1305965) has been in the securities industry since 1984 and is currently registered with Landolt Securities, Inc. in Lake Bluff, Illinois, where he serves as CEO and holds multiple principal and representative registrations (including General Securities Principal and General Securities Representative).
Over the course of his career, McKiernan has been registered with the following brokerage firms:
Landolt Securities, Inc. (CRD# 28352), Lake Bluff, IL – 11/2005–Present
Oberweis Securities, Inc. (CRD# 42060), Antioch, IL – 08/2004–11/2005
Birkelbach Investment Securities, Inc. (CRD# 11490), Chicago, IL – 04/1990–09/2004
Robert A. Podesta & Co. (CRD# 13140), Chicago, IL – 06/1989–04/1990
The Chicago Corporation (CRD# 1449), Chicago, IL – 09/1988–06/1989
Oberweis Securities, Inc. (CRD# 7739) – 06/1985–09/1988
Francis Manzo & Company, Incorporated (CRD# 8187) – 01/1985–06/1985
Vantage Securities of Colorado, Inc. (CRD# 8622) – 10/1984–12/1984

Our firm is investigating Moloney Securities Co., Inc. CEO and financial advisor Donald Ralph Hancock (CRD# 828811) of Manchester, Missouri for potential Regulation Best Interest and suitability-related misconduct involving high-risk GWG L Bonds and other alternative investments recommended to retail investors.
Financial Advisor’s Career History
Donald R. Hancock (CRD# 828811) has been in the securities industry since 1976 and is currently registered with Moloney Securities Co., Inc. and Moloney Securities Asset Management LLC in Manchester, Missouri, where he serves in senior leadership roles including Chief Executive Officer and financial officer. His prior registrations include tenures with R. Rowland & Co., Inc., A.G. Edwards & Sons, Inc., D.R. Hancock & Company, Inc., Hancock Securities Group, LLC, Hancock Investment Advisors, LLC, and Moloney Investment Advisory LLC.
Over his nearly five-decade career, Hancock has held multiple principal and supervisory licenses, including General Securities Principal, Municipal Securities Principal, Financial and Operations Principal, Registered Options Principal, Investment Banking Principal, and Securities Trader Principal, along with state registrations in more than 30 U.S. jurisdictions.

Our firm is investigating Joseph Stone Capital broker and CEO Damian Maggio (CRD# 2864247) of Garden City, New York for potential investment-related misconduct, including alleged failure to supervise customer accounts.

Financial Advisor’s Career History
According to his FINRA BrokerCheck report, Damian Maggio has been registered in the securities industry since 1997 and is currently associated with Joseph Stone Capital L.L.C. (CRD# 159744) in Garden City, New York, where he serves as CEO and a registered representative.
Over the course of his career, Maggio has been registered with the following broker-dealers:
Joseph Stone Capital L.L.C. (Garden City, NY) – Registered since February 26, 2013; currently CEO and registered principal/representative.
First Midwest Securities, Inc. (Garden City, NY) – October 2008 to February 2013.
J.P. Turner & Company, L.L.C. (Westbury, NY) – October 2005 to October 2008.

Brundyn Securities Inc. (Arlington, TX) – September 2004 to October 2005.
North American Clearing, Inc. (Longwood, FL) – April 2004 to August 2004.
LH Ross & Company, Inc. (Boca Raton, FL) – January 2003 to March 2004.
Lloyd, Scott & Valenti, Ltd. (Austin, TX) – August 2002 to January 2003.
KSH Investment Group, Inc. (Great Neck, NY) – October 2001 to August 2002.
Harrison Securities, Inc. (Port Washington, NY) – December 2000 to November 2001.
Whitehall Wellington Investments, Inc. (Port Washington, NY) – November 2000 to December 2000 and again from October 1998 to December 1999.
M.S. Farrell & Company, Inc. (Syosset, NY) – December 1999 to November 2000.
LCP Capital Corp. (Staten Island, NY) – January 1998 to October 1998.
Royal Hutton Securities Corp. (New York, NY) – September 1997 to December 1997.
Gaines, Berland Inc. (Bethpage, NY) – July 1997 to October 1997.

Our firm is investigating former Raymond James Financial Services, Inc. broker and financial advisor H. Todd Roggen (CRD# 721463) of Houston, Texas, for potential investment-related misconduct involving allegedly unsuitable private placement investments and other sales practice violations.
Financial Advisor’s Career History
According to his FINRA BrokerCheck report, H. Todd Roggen entered the securities industry in 1980 and has spent more than four decades working at a series of national and regional firms.
Over the course of his brokerage career, Mr. Roggen was previously registered with the following broker-dealers:
Rotan Mosle Inc. (CRD# 727) from December 1980 to February 1983
Cowen & Co. (CRD# 1541) from January 1983 to February 1984
Cowen Securities Inc. (CRD# 8531) from February 1984 to December 1986
Prudential Securities Incorporated (CRD# 7471) from December 1986 to July 1992
First Union Securities, Inc. (CRD# 19616) from July 1992 to January 2001
UBS Financial Services Inc. (CRD# 8174) from January 2001 to June 2010
Raymond James Financial Services, Inc. (CRD# 6694) in Houston, Texas, from June 2010 to November 2024
His employment history also reflects that he has worked as a financial advisor with Raymond James Financial Services Advisors, Inc. in Houston, and more recently as a financial advisor with MGO OneSeven DBA HTR Wealth Management, while also engaging in several insurance-related and other business activities.

Our firm is investigating KKR Capital Markets LLC broker and investment advisor Matthew Brett Koelliker (CRD# 5660722) of San Francisco, California, for potential investment-related misconduct involving private real estate direct investment limited partnership interests. According to public records from FINRA’s BrokerCheck system, investors have accused Koelliker of failing to honor withdrawal and redemption requests in a private real estate limited partnership, resulting in substantial alleged losses.
Financial Advisor’s Career History
Matthew Brett Koelliker has spent his securities industry career focused on complex investment products and institutional asset management:
KKR Capital Markets LLC (CRD# 143571) – San Francisco, California
Koelliker has been registered with KKR Capital Markets LLC as a General Securities Representative since November 12, 2024. His branch office is listed at 555 California Street, 51st Floor, San Francisco, CA 94104. In September 2024, he reported employment as a Director at both KKR Capital Markets LLC and affiliated entity Kohlberg Kravis Roberts & Co. L.P. in San Francisco, California.
M360 Advisors – Ladera Ranch, California
From February 2020 through September 2024, Koelliker reported serving as Vice President at M360 Advisors, an investment-related position in Ladera Ranch, California. The customer disputes on his BrokerCheck record stem from this time period and relate to private real estate and limited partnership offerings managed through that platform.
Pacific Investment Management Company LLC (PIMCO) – Newport Beach, California
Koelliker’s earlier background includes roles with Pacific Investment Management Company LLC, where he worked as an Account Associate (June 2011–August 2016) and later as a VP, Account Manager (August 2016–February 2020), both in Newport Beach, California.
PIMCO Investments LLC (CRD# 154957) – Newport Beach, California / New York, New York
He was registered with PIMCO Investments LLC from October 2011 until February 2020, during which time he served as a Registered Representative in New York, New York.

Our firm is investigating Equitable Advisors, LLC financial advisor and stockbroker Ryan Bartholomew Lacedonia (CRD# 5658696) of Tampa, Florida for potential investment-related misconduct arising from customer complaints alleging misleading investment information and losses in municipal bond funds and a managed money account.
Financial Advisor’s Career History
Ryan Bartholomew Lacedonia is currently registered with FINRA as both a general securities representative and an investment adviser representative with Equitable Advisors, LLC (CRD# 6627). He has been associated with Equitable Advisors since April 2022 and works out of a branch office in Tampa, Florida, while holding registrations in numerous U.S. states and territories.
Mr. Lacedonia has spent his entire career in the securities industry. Before joining Equitable Advisors, he was dually registered with TIAA-CREF Individual & Institutional Services, LLC and Advice and Planning Services (CRD# 20472) in Tampa, Florida from approximately February 2015 through April 2022, where he served as a wealth management advisor and registered representative.
His earlier experience includes working with ETRADE Securities LLC and ETRADE Capital Management, LLC (Tampa, Florida and Arlington, Virginia), as well as prior registrations with GAMCO Asset Management Inc., Gabelli & Company, Inc., Cohen & Steers Securities, LLC in New York, and an early stint with AXA Advisors, LLC in Miami, Florida dating back to 2009. In addition to his brokerage and advisory roles, Lacedonia has reported an outside business activity under the trade name PCG/Private Client Group, R.B Lace LLC in Tampa, where he is listed as owner.

Our firm is investigating LPL Financial broker and investment adviser David Jon Nastri (CRD# 5178144) of Cheshire, Connecticut for potential investment-related misconduct involving allegedly unsuitable recommendations in real estate securities and structured products.

Financial Advisor’s Career History
According to FINRA BrokerCheck records, David Jon Nastri has been registered in the securities industry since 2006.
Current firm:
LPL Financial LLC (CRD# 6413)
Registered as a General Securities Representative since October 11, 2011
Registered as an Investment Adviser Representative with LPL since July 2, 2012
Works out of branch offices at 145 Highland Ave and 1151 S Main St, Cheshire, CT 06410
Prior broker-dealer affiliations:
UVEST Financial Services Group, Inc. (CRD# 13787), Cheshire, CT – registered February 2007 – October 2011
Webster Investment Services, Inc. (CRD# 46588), Wilton, CT – registered January 2007 – February 2007
MML Investors Services, Inc. (CRD# 10409), Farmington, CT – registered November 2006 – January 2007

Our firm is investigating LPL Financial broker and investment adviser Shaun B. Floresca (CRD# 4758697) of Chicago, Illinois for potential investment-related misconduct.

Financial Advisor’s Career History
Shaun B. Floresca has been registered in the securities industry since 2004. He is currently a General Securities Representative and investment adviser representative with LPL Financial LLC (CRD# 6413), working from a branch office at 11545 W. Touhy Ave., Chicago, Illinois, while the firm’s main office is in Fort Mill, South Carolina.
Over the course of his career, Floresca has been registered with the following broker-dealers and investment advisory firms:
LPL Financial LLC, Fort Mill, SC / Chicago, IL (Broker and Investment Adviser Representative, 11/2012–present)
CUNA Brokerage Services, Inc., Chicago, IL and Waverly, IA (Broker and Investment Adviser Representative, 08/2009–11/2012)
Chase Investment Services Corp., Niles, IL (Broker and Investment Adviser Representative, 05/2006–07/2009)
MML Investors Services, Inc., Springfield, MA (Broker, 07/2005–03/2006)
Merrill Lynch, Pierce, Fenner & Smith Incorporated, New York, NY and Rockford, IL (Broker and Investment Adviser Representative, 03/2005–06/2005)
Banc One Securities Corporation, Chicago, IL (Broker, 03/2004–10/2004)

Our firm is investigating UBS Financial Services broker and financial advisor Sonia Maria Attkiss (CRD# 2936806) of New York, New York and Westport, Connecticut for potential investment-related misconduct, including unsuitable options overlay recommendations, misrepresentation, and failure to follow client instructions.

Financial Advisor’s Career History

According to FINRA BrokerCheck, Sonia Maria Attkiss has worked in the securities industry since the late 1990s.

She is currently registered as a General Securities Representative and investment adviser representative with UBS Financial Services Inc. (CRD# 8174), where she has been employed since November 20, 2015. She is registered in 53 U.S. states and territories and with 10 self-regulatory organizations, and works out of UBS offices at 299 Park Avenue in New York, New York and in Westport, Connecticut.
Before joining UBS Financial Services Inc., Ms. Attkiss was registered with:
Credit Suisse Securities (USA) LLC (CRD# 816) in New York, New York from January 2003 through December 2015.
Donaldson, Lufkin & Jenrette Securities Corporation (CRD# 7560) in Jersey City and New York, New York from September 1997 through January 2003.