Our firm is investigating Kalos Capital, Inc. registered representative and investment adviser representative Thomas Michael Rauchegger (CRD# 5156496) of Alpharetta, Georgia for potential investment-related misconduct.

Financial Advisor’s Career History

FINRA BrokerCheck reflects that Rauchegger is not currently registered, and that he was previously registered with Kalos Capital, Inc. from January 2012 through October 2022 (branch listed as Maitland, Florida).

Within the last 10 years of employment history reported on Form U4, BrokerCheck lists:

Kalos Management, Inc. — Investment Adviser Representative (reported as 02/2013–Present) in Alpharetta, GA

Kalos Capital, Inc. — Registered Representative (reported as 12/2011–Present) in Alpharetta, GA

Cramer & Rauchegger, Inc. — Vice President (reported as 05/2006–Present) in Maitland, FL

BrokerCheck also lists outside business activities including Cramer & Rauchegger (life i

Our firm is investigating former Oppenheimer & Co., Inc. financial advisor Zachary Taylor (CRD# 6074776) of Newport Beach, California, for potential investment-related misconduct involving options trading and customer disputes.
Financial Advisor’s Career History
Zachary E. Taylor began his securities industry career in 2012. According to FINRA records, he was previously registered with Wells Fargo Advisors, LLC (2012), Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013–2020), Oppenheimer & Co., Inc. (2020–2023), and Saxony Securities, Inc. (2023). He most recently worked in the Newport Beach, California area before his discharge from Oppenheimer & Co., Inc. in May 2023.

Our firm is investigating Oppenheimer & Co. Inc. financial advisor and broker Mark Raymond Reynolds (CRD# 1639111) of Chicago, Illinois for potential investment-related misconduct.
Financial Advisor’s Career History
Based on his FINRA BrokerCheck report, Mark R. Reynolds has worked in the securities industry with the following firms:
Oppenheimer & Co. Inc. (Financial Consultant) — 08/2005 to Present (Chicago, IL; also reported branch location in Barrington, IL).
Morgan Stanley / Morgan Stanley DW Inc. — 08/2003 to 09/2005.
Banc One Securities Corporation — 04/1999 to 05/2004 (registrations reported in Chicago, IL and Evanston, IL).

Our firm is investigating former Raymond James Financial Services financial advisor Mario Payne (CRD# 5445757) of Jacksonville, Florida for potential investment-related misconduct.
Financial Advisor’s Career History
FINRA BrokerCheck reflects that Mario Payne is not currently registered as a broker, but was previously registered with Edward Jones in Jacksonville, Florida from December 2007 to May 2013 and with Raymond James Financial Services, Inc. in Jacksonville, Florida from May 2013 to February 2019.
His most recently reported Form U4 employment history lists Planning Solutions International LLC dba TOAMS Financial (Jacksonville, Florida) from February 2019 to present as Owner/Chief Compliance Officer, and also reflects roles at Raymond James Financial Services, Inc. (Financial Advisor) and Raymond James Financial Services Advisors Inc. (Investment Adviser Representative) from May 2013 to February 2019.

Our firm is investigating RBC Capital Markets, LLC financial advisor Paul Richard Meyer (CRD# 3062534) of Minnetonka, Minnesota for potential investment-related misconduct.
Financial Advisor’s Career History
According to his BrokerCheck report, Paul Richard Meyer has been registered with RBC Capital Markets, LLC since October 11, 2017. His reported employment/registration history includes:
RBC Capital Markets, LLC — Financial Advisor (10/2017–Present) (Minnetonka, MN)
City National Bank (affiliate role) — Employee of an affiliate (06/2018–12/2023) (Minnetonka, MN)
Morgan Stanley Private Bank, National Association — Financial Advisor (01/2015–10/2017) (New York, NY)
Morgan Stanley Smith Barney — Mass Transfer (06/2009–10/2017) (Minneapolis, MN)
Morgan Stanley & Co. Incorporated — Financial Advisor (08/2008–10/2017) (Minneapolis, MN)
RBC Capital Markets Corporation — Registered (06/1998–08/2008) and Investment Adviser registration (04/2005–08/2008) (Minneapolis, MN)

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 D. Boral Capital stockbroker Brendan Bryan Behan (CRD# 5681974) of Woodbury, New York for potential investment-related misconduct.

Stockbroker Career History

Brendan Bryan Behan is currently registered with D. Boral Capital in Woodbury, New York, where BrokerCheck shows he has been registered since March 4, 2024. His prior registrations listed in BrokerCheck include Aegis Capital Corp. in Melville, New York from July 2023 through March 2024 as an investment adviser representative, Aegis Capital Corp. in Melville, New York from September 2012 through March 2024 as a broker, Max International Broker/Dealer Corp. in New York, New York from June 2009 through January 2013, and NSM Securities, Inc. in West Palm Beach, Florida from July 2012 through September 2012.

Brendan Bryan Behan Fraud Allegations and Investor Complaints Explained

FINRA BrokerCheck reflects two final customer dispute disclosures for Mr. Behan, both reported as settled. The reported allegations include unsuitable transactions, unauthorized trading, and churning, with both matters tied to his time at Aegis Capital Corp. BrokerCheck also notes that customer disputes may contain allegations that are contested, unresolved, or settled without any admission or finding of wrongdoing.

Our firm is investigating LPL Financial broker and investment adviser James Patrick Chiaro (CRD# 4866429) of Dunmore, Pennsylvania for potential investment-related misconduct.

James Patrick Chiaro’s Career History

James Patrick Chiaro is currently registered with LPL Financial LLC in Dunmore, Pennsylvania, where he has been registered as both a broker and an investment adviser since August 18, 2017. BrokerCheck shows prior registrations with Citizens Securities, Inc. from 2007 to 2017 and PNC Investments from 2005 to 2007. The report also reflects employment history entries including LPL Financial, LLC and CCO Investment Services Corp.

James Patrick Chiaro Fra

Our firm is investigating Frisco, Texas financial advisor and stock broker Mark Perry Kissinger (CRD# 4546631), who is currently registered with NYLIFE Securities LLC and Eagle Strategies LLC out of 2600 Network Blvd., Suite 130, Frisco, Texas, for potential investment-related misconduct.

Financial Advisor’s Career History

According to FINRA BrokerCheck, Kissinger entered the securities industry in 2002 with A.G. Edwards & Sons, Inc. in McKinney, Texas, where he was registered from August 2002 through August 2007 as a broker and from September 2002 through August 2007 as an investment adviser representative. He was then registered with UBS Financial Services Inc. from August 2007 through November 2011 in Addison and McKinney, Texas, later with Allstate Financial Services, LLC in Frisco, Texas from April 2012 through November 2018, and has been registered with NYLIFE Securities LLC since November 27, 2018 and Eagle Strategies LLC since March 15, 2023. His recent employment history also lists Kissinger Financial Services LLC, New York Life Insurance Company, and Nylife Securities LLC in Frisco, Texas.

Our firm is investigating Emerson Equity LLC stockbroker James John Raia (CRD# 2397301) of Irvine, California for potential investment-related misconduct.

Stockbroker’s Career History

According to FINRA BrokerCheck, James John Raia has been registered in the securities industry since 1996. His current registration is with Emerson Equity LLC, where he has been registered since May 7, 2025. Before joining Emerson Equity LLC, Raia was registered with Moloney Securities Co., Inc. from February 2018 through June 2025, Summit Brokerage Services, Inc. from September 2015 through February 2018, J.P. Turner & Company, L.L.C. from December 2009 through September 2015, GunnAllen Financial, Inc. from February 2005 through December 2009, Greenpoint Securities LLC from January 2004 through December 2004, Essex National Securities, Inc. from October 1997 through January 2004, MetLife Securities Inc. from August 1997 through October 1997, Metropolitan Life Insurance Company from August 1997 through October 1997, Shamrock Financial Services from December 1996 through August 1997, and Continental Broker-Dealer Corp. from March 1997 through July 1997.