Broker / Advisor Investigations - Page 31 of 46 - Law Offices of Robert Wayne Pearce, P.A

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.

May 1, 2024

Anthony D’Ascoli of Oppenheimer & Co. Inc

Anthony D’Ascoli (CRD #4133420) who is currently registered as a broker and investment adviser with Oppenheimer & Co. Inc. and located in Delray Beach, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Anthony D’Ascoli was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 30, 2024

Nabil Bouab of Garden State Securities, Inc

Nabil Bouab (CRD #4340284) who is currently registered as a broker and investment adviser with Garden State Securities, Inc. and located in Red Bank, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Garden State Securities, Inc., Nabil Bouab was associated with American Portfolios Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nabil Bouab has had his own regulatory problems. In connection with his employment at Royal Alliance Associates, FINRA conducted an investigation that resulted in him consenting to sanctions and the entry of findings that he impersonated a client during telephone calls with clients outside brokerage firm in order to place rebalancing trades in the clients account. As a result, he was suspended and all capacities for 20 days and fined $5,000. Thereafter, Royal Alliance Associates permitted his resignation.

Apr 30, 2024

Arif Ahmed of J.P. Morgan Securities LLC

Arif Ahmed (CRD #3099755) who is currently registered as a broker and investment adviser with J.P. Morgan Securities LLC and located in San Francisco, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Arif Ahmed was associated with First Republic Securities Company, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory, and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 29, 2024

Drew Reinhardt of Morgan Stanley

Drew Reinhardt (CRD #1457827) who is currently registered as a broker and investment adviser with Morgan Stanley and located in Doylestown, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Drew Reinhardt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 28, 2024

Patrick Tantoco of Osaic Wealth, Inc

Patrick Tantoco (CRD #5249850) who is currently registered as a broker and investment adviser with Osaic Wealth, Inc. and located in Honolulu, Hawaii, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Osaic Wealth, Inc., Patrick Tantoco was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 26, 2024

Shelley Moffatt of Edward Jones

Shelley Moffatt (CRD #2761305) who was formerly registered with Edward Jones and located in Kent, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Shelley Moffatt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 25, 2024

Scott Matalon formerly with RBC Capital Markets, LLC

Scott Matalon (CRD #4637378) who was formerly registered with RBC Capital Markets, LLC and located in Jericho, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Scott Matalon 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. Scott Matalon has had his own regulatory problems. In 2023, he was permanently barred from any further association with any member firm in any capacity after refusing to cooperate in one of FINRAs investigations of allegations he made in the statement of claim filed against his member firm by one of his clients.

Apr 24, 2024

Timothy Lilleboe of Morgan Stanley

Timothy Lilleboe (CRD #1273695) who is currently registered as a broker and investment adviser with Morgan Stanley and located in East Lansing, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Timothy Lilleboe was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Apr 22, 2024

Tamara Glenn formerly with LPL Financial LLC

Tamara Glenn (CRD #4324857) who was formerly registered with LPL Financial LLC and located in East Lansing, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Tamara Glenn was associated with Sigma Financial Corporation, Securian Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.