Our firm is investigating Dominari Securities broker John Russo (CRD# 3245040) of New York, New York, for potential investment-related misconduct.

Stockbroker John Russo’s Career History

John Russo entered the securities industry in 2000. He is currently registered with Dominari Securities LLC and works from the firm’s New York City office. His BrokerCheck employment history identifies his current position as private equity. Russo has been registered with Dominari Securities since March 4, 2024.

Russo’s brokerage registration history includes:

Citicorp Investment Services from May 2000 to July 2000

Worldco, L.L.C. from July 2000 to August 2000

Prudential Securities Incorporated from October 2000 to November 2000

Andover Brokerage, L.L.C. from January 2002 to March 2003

Assent LLC from March 2003 to September 2004

Hold Brothers On-Line Investment Services L.L.C. from September 2004 to August 2006

Merrill Lynch, Pierce, Fenner & Smith Incorporated from September 2006 to October 2007

Assent LLC from October 2007 to June 2008

Chase Investment Services Corp. from January 2009 to August 2010

Dimension Trading Group, LLC from May 2011 to October 2011

Hold Brothers Capital LLC from June 2013 to July 2014

Benjamin & Jerold Brokerage I, LLC from August 2014 to November 2015

Paulson Investment Company LLC from November 2015 to April 2016

Osprey Partners LLC from May 2016 to June 2017

T3 Trading Group, LLC from January 2018 to June 2018

Aegis Capital Corp. from June 2018 to April 2024

Dominari Securities LLC from March 2024 to the present

Russo is currently registered with FINRA as a general securities representative and securities trader. He is licensed in 35 U.S. states and territories and has passed one principal or supervisory examination, four general industry or product examinations, and one state securities law examination.

Our firm is investigating Creand Securities broker and financial advisor Javier Adolfo Naselli (CRD# 2425401) of Miami, Florida, for potential investment-related misconduct.

Financial Advisor Javier Adolfo Naselli’s Career History

Javier Adolfo Naselli began working in the securities industry in 1993. He has been registered as a broker with Creand Securities since August 7, 2025, and works from the firm’s Miami, Florida office. His BrokerCheck report also states that he serves as an investment adviser representative of affiliated investment advisory firm Creand Management.

Naselli’s brokerage and investment adviser registrations include:

Merrill Lynch, Pierce, Fenner & Smith Incorporated from December 1993 to March 2000

Dean Witter Reynolds Inc. from March 2000 to April 2000

Morgan Stanley DW Inc. from June 2000 to December 2005

Credit Suisse Securities (USA) LLC from December 2005 to July 2011

UBS Financial Services Inc. from June 2011 to July 2024

Creand Securities from August 2025 to the present

Naselli was reportedly unemployed from June 2024 through July 2025. He is currently registered through two self-regulatory organizations and licensed as a securities agent in Florida and Texas. He has passed three general industry or product examinations and two state securities law examinations.

Our firm is investigating former Cambridge Investment Research and SCF Securities broker Matthew Robert Westberry (CRD# 4908745), who is reported as an investment adviser representative in Marion, Iowa, for potential investment-related misconduct.

Financial Advisor Matthew Robert Westberry’s Career History

Matthew Robert Westberry began working in the securities industry in 2005. He is not currently registered as a broker, although his BrokerCheck employment history reports that he has served as an investment adviser representative of Secure Asset Management, L.L.C. since May 2025 and as the owner and advisor of Westberry Wealth Management, LLC since March 2022.

Westberry’s brokerage registrations include:

National Planning Corporation from June 2005 to June 2008

Cambridge Investment Research, Inc. from June 2008 to September 2018

LPL Financial LLC from August 2018 to March 2022

SCF Securities, Inc. from February 2022 to October 2024

Westberry has passed three general industry or product examinations and two state securities law examinations. He has not passed a principal or supervisory examination.

Jeremy Lee Bouwman (CRD# 5530522) is a financial advisor and stockbroker with Edward Jones in Austin, Texas, and our firm is investigating customer complaints alleging unsuitable investment recommendations and related sales practice violations.

Financial Advisor’s Career History
According to his FINRA BrokerCheck report, Jeremy Lee Bouwman has been employed by Edward Jones since May 2008, working as a financial advisor in the firm’s Austin, Texas branch offices.

He first became registered with Edward Jones as a General Securities Representative in June 2008 and later qualified as an Investment Adviser Representative in Texas in October 2009. Over the years, he has obtained registrations with multiple self-regulatory organizations, including FINRA, the New York Stock Exchange, NYSE American, and the Nasdaq Stock Market, and has been licensed as an agent in numerous states, including Texas, Colorado, Georgia, Florida, California, and others.

Since entering the securities industry, Bouwman’s entire reported investment-related employment history has been with Edward Jones, where he continues to service retail customers through the firm’s Austin-area branch locations.

Our firm is investigating A.G.P. / Alliance Global Partners broker and investment adviser representative Matt Ward (CRD# 2075525) of Santa Monica, California, for potential investment-related misconduct.

Financial Advisor Matt Ward’s Career History

Matt Ward began working in the securities industry in 1990. He has been registered as a broker with A.G.P. / Alliance Global Partners since April 2012 and works from the firm’s Santa Monica, California branch. The report also identifies Ward as an investment adviser representative in California.

Ward’s prior brokerage registrations include:

Lehman Brothers Inc. from October 1990 to July 1993

Smith Barney Shearson Inc. from July 1993 to December 1993

Sutro & Co. Incorporated from December 1993 to July 1995

Merrill Lynch, Pierce, Fenner & Smith Incorporated from July 1995 to September 1996

Maxwell Capital, Inc. from October 1996 to July 1997

National Securities Corporation from July 1997 to April 2012

A.G.P. / Alliance Global Partners from April 2012 to the present

Ward is currently registered through two self-regulatory organizations and licensed in 49 U.S. states and territories. He has passed one principal or supervisory examination, two general industry or product examinations, and one state securities law examination.

Our firm is investigating Wells Fargo Advisors Financial Network, LLC broker and investment adviser representative Shalom Azar (CRD# 7125424) of Fort Lee, New Jersey for potential investment-related misconduct.

Shalom Azar’s Stockbroker Career History

Shalom Azar is currently registered with Wells Fargo Advisors Financial Network, LLC as a broker and with Wells Fargo Advisors as an investment adviser representative, working from the firm’s Fort Lee, New Jersey office. He has been registered with Wells Fargo Advisors Financial Network, LLC since July 22, 2025.

Before joining Wells Fargo, Azar was registered with Morgan Stanley from July 2021 through August 2025 in Paramus, New Jersey. He was also registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 2019 through July 2021 as a broker and from September 2019 through July 2021 as an investment adviser representative in Stamford, Connecticut.

Azar’s reported employment history includes Wells Fargo Advisors Financial Network, LLC as a registered representative beginning in July 2025, Morgan Stanley Smith Barney LLC as a financial advisor from July 2021 to July 2025, Morgan Stanley Private Bank, N.A. as a financial advisor from August 2021 to July 2025, Bank of America, N.A. as a financial advisor trainee from June 2019 to July 2021, and Merrill Lynch as a financial advisor trainee from May 2019 to July 2021.

Our firm is investigating Wells Fargo Advisors Financial Network, LLC broker and investment adviser representative Shalom Azar (CRD# 7125424) of Fort Lee, New Jersey for potential investment-related misconduct.

Shalom Azar’s Stockbroker Career History

Shalom Azar is currently registered with Wells Fargo Advisors Financial Network, LLC as a broker and with Wells Fargo Advisors as an investment adviser representative, working from the firm’s Fort Lee, New Jersey office. He has been registered with Wells Fargo Advisors Financial Network, LLC since July 22, 2025.

Before joining Wells Fargo, Azar was registered with Morgan Stanley from July 2021 through August 2025 in Paramus, New Jersey. He was also registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 2019 through July 2021 as a broker and from September 2019 through July 2021 as an investment adviser representative in Stamford, Connecticut.

Azar’s reported employment history includes Wells Fargo Advisors Financial Network, LLC as a registered representative beginning in July 2025, Morgan Stanley Smith Barney LLC as a financial advisor from July 2021 to July 2025, Morgan Stanley Private Bank, N.A. as a financial advisor from August 2021 to July 2025, Bank of America, N.A. as a financial advisor trainee from June 2019 to July 2021, and Merrill Lynch as a financial advisor trainee from May 2019 to July 2021.

Our firm is investigating Emerson Equity LLC broker and Ridgegate Advisors, LLC investment adviser representative Alexander Staverosky (CRD# 7171282) of Englewood, Colorado for potential investment-related misconduct.

Stockbroker Alexander Staverosky’s Career History

Alexander Staverosky is currently registered as a broker with Emerson Equity LLC and as an investment adviser representative with Ridgegate Advisors, LLC. His current office location is 8310 S Valley Highway, Suite 480, Englewood, Colorado 80112.

According to FINRA BrokerCheck, Staverosky has been registered with Emerson Equity LLC as a broker since April 29, 2021. He became registered with Ridgegate Advisors, LLC as an investment adviser representative on September 12, 2025.

His prior registration history includes J.P. Morgan Securities LLC in Aurora, Colorado from September 2019 to December 2020; Emerson Equity LLC in Greenwood Village, Colorado from July 2021 to September 2022 as an investment adviser representative; and AE Wealth Management, LLC in Englewood, Colorado from December 2022 to December 2025.

Staverosky has passed the Securities Industry Essentials Examination, the Series 6 Investment Company Products/Variable Contracts Representative Examination, the Series 7 General Securities Representative Examination, and the Series 66 Uniform Combined State Law Examination.

Our firm is investigating Bankers Life Securities broker Emmanuel Edward Jacobs (CRD# 7257412) of Modesto, California for potential investment-related misconduct.

Stockbroker’s Career History

Emmanuel Edward Jacobs is currently registered with Bankers Life Securities, Inc. at the firm’s Modesto, California branch office located at 3600 Sisk Road, Suite 5B. Jacobs has been registered with Bankers Life Securities since June 13, 2022, and is registered with FINRA as an Investment Company Products/Variable Contracts representative and with California as an agent.

According to his reported employment history, Jacobs has worked as a financial representative with Bankers Life Securities, Inc. in Salida, California since August 2021. He has also worked for Bankers Life & Casualty, Inc. as a unit supervisor since October 2014. From June 2020 through July 2022, he was an investment advisor representative with Bankers Life Advisory Services, Inc. No prior securities firm registration history was reported.

Our firm is investigating Principal Securities, Inc. broker and investment adviser representative Cassidy Layne Bearinger (CRD# 8137209) of Lincoln, Nebraska for potential investment-related misconduct.

Financial Advisor’s Career History

Cassidy Layne Bearinger is currently registered with Principal Securities, Inc. as a broker and investment adviser representative at the firm’s Lincoln, Nebraska branch office located at 1128 Lincoln Mall, Suite 200, Lincoln, NE 68508.

According to her FINRA BrokerCheck report, Bearinger has been registered with Principal Securities, Inc. as a General Securities Representative since September 2, 2025, and as a Nebraska investment adviser representative since November 24, 2025. She is licensed through Principal Securities, Inc. in several states, including Arizona, Colorado, Idaho, Nebraska, Oregon, Utah, Virginia, and Washington.

Bearinger’s reported employment history includes Principal Securities, Inc. as a registered representative beginning in August 2025, Principal Life Insurance Company as an agent beginning in August 2025, and Midlands Financial as a financial advisor beginning in January 2026. Her prior non-investment-related employment includes Cornerstone Bank, Bearinger Tax & Accounting LLC, and Lincoln Children’s Zoo.

Securities Industry Examinations