May 10, 2024

Lincoln Mason formerly with Edward Jones

Lincoln Mason (CRD #7057393) who was formerly registered with Edward Jones and located in Arnolds Park, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Both Edward Jones and Lincoln Mason have had their share of problems with the regulators. In Lincoln, Mason’s case, he was recently suspended and fined for engaging in outside business activities without providing prior written notice to and receiving his firm’s approval of that activity. He was suspended for 90 days, and fined $5,000 for that misconduct. This is in addition to the suspension he suffered as a result of the Iowa Insurance Commissioners actions.

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May 9, 2024

Curtis Mason of GWN Securities Inc

Curtis Mason (CRD #3246419) who is currently registered as a broker and investment adviser with GWN Securities Inc. and located in West Linn, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Prior to GWN Securities Inc., Curtis Mason was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 9, 2024

Martinez formerly with Pruco Securities LLC

Justin Martinez (CRD #6636905) who was formerly registered with Pruco Securities LLC and located in Pinole, California, is a subject of one of our many securities industry sales practice abuse investigations. He recently resigned from the firm when he was under review for submitting life insurance policy applications that indicated fraud. The representative allegedly submitted applications for the same insureds, including multiple applications for himself and his family members under the same email address, all of which either lapsed or were withdrawn. Representative did not identify himself as the insured on 2 of the applications, thereby receiving express commissions to which she was not entitled.

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May 8, 2024

Robert Larsen of Creativeone Securities, LLC

Robert Larsen (CRD #1913268) who is currently registered as a broker with Creativeone Securities, LLC and located in Phoenix, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Creativeone Securities, LLC, Robert Larsen was associated with Ameriprise Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 6, 2024

Jack Yvars of Osaic Wealth, Inc

Jack Yvars (CRD #6377111) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Concord, New Hampshire, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Jack Yvars was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 5, 2024

Edgar Kleydman of MML Investors Services, LLC

Edgar Kleydman (CRD #2727571) who was formerly registered with MML Investors Services, LLC and located in Brookly, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Edgar Kleydman was associated with AXA Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edgar Kleydman has had his own regulatory problems. In 2021, he refused to cooperate with the FINRA investigation and appear for non-the-record testimony. Their investigating whether he engaged in private securities transactions without providing written notice to his member firm. As a result, he was permanently barred from any further association with any FINRA member firm in any capacity.

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May 3, 2024

Craig Gould of Cabot Lodge Securities LLC

Craig Gould (CRD #2367293) who is currently registered as a broker with Cabot Lodge Securities LLC and located in Schaumburg Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabot Lodge Securities LLC, Craig Gould was associated with World Equity Group, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Craig Gould has been the subject of 2 FINRA enforcement actions which he settled without admitting or denying the findings. In one case, he consented to the sanctions and to the entry of findings that he failed to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable FINRA rules, and failed to reasonably enforces member firms written supervisory procedures that require the review of organization and offering expenses and underwriter’s compensation. As a result, he was suspended in 1 FINRA proceeding for 90 days, and fined $20,000 and the other FINRA enforcement action. He was suspended for 10 days, and fined $5,000.

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May 3, 2024

Paul Getty of Lightpath Capital, Inc

Paul Getty (CRD #6470002) who is currently registered as a broker with Lightpath Capital, Inc. and located in San Jose, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lightpath Capital, Inc., Paul Getty was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 2, 2024

Robert Earls, Jr. of LPL Financial LLC

Robert Earls, Jr. (CRD #1369915) who was formerly registered with LPL Financial LLC and located in Roanoke, Virginia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Robert Earls, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 2, 2024

Dan Droeg formerly with United Planners’ Financial Services of America A Limited Partner

Dan Droeg (CRD #1509210) who was formerly registered with United Planners’ Financial Services of America A Limited Partner and located in Mesa, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to United Planners’ Financial Services of America, A Limited Partner, Dan Droeg was associated with Sagepoint Financial, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dan Droeg has had his own regulatory problems. He has been suspended for failure to comply with an arbitration award in favor of an investor. The adviser has also been permanently barred by FINRA for many further associations with any member firm in any capacity for allegedly converting assets of a trust by using his authority as a trustee to surrender a variable annuity contract owned by the trust and then transferring over $878,000 from the trust’s bank account to his own bank accounts. As a result, he was terminated by United Planners Financial Services of America.

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