Nov 19, 2025

Aegis Capital Corp. Broker Matthew Winthrop Under Investigation For Alleged Excessive Trading and Unauthorized Transactions FINRA Complaint

Our firm is investigating Aegis Capital Corp. broker and investment adviser representative Matthew Winthrop (CRD# 2445102) of Melville, New York, for potential investment-related misconduct, including a history of customer disputes and a recent termination after allegations of excessive trading in client brokerage accounts. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Matthew Winthrop has worked in the securities industry for more than three decades with multiple national brokerage firms. He is currently registered as a general securities representative and principal with Aegis Capital Corp. (CRD# 15007), based out of its Melville, New York branch office at 1305 Walt Whitman Road, Suite 120, and is also registered through Aegis in several states, including Connecticut, Florida, New York, Pennsylvania, Texas, and Virginia. Mr. Winthrop’s registration and employment history reported to FINRA includes: Aegis Capital Corp. – Melville, NY (Registered Representative & Investment Adviser Representative, 09/2025–Present) Equitable Advisors, LLC – Easton/New York, NY (Registered Representative & Investment Adviser Representative, 01/2022–09/2025) Aegis Capital Corp. – Westport, CT (Registered Representative & Investment Adviser Representative, 10/2017–02/2022) RBC Capital Markets, LLC – Westport, CT (Financial Consultant, 07/2011–10/2017) Oppenheimer & Co. Inc. – Stamford, CT (Registered Representative & Investment Adviser Representative, 08/2007–07/2011) H&R Block Financial Advisors, Inc. – Greenwich, CT (Registered Representative & Investment Adviser Representative, 11/2002–08/2007) UBS PaineWebber Inc. – Greenwich, CT and Weehawken, NJ (Registered Representative & Investment Adviser Representative, 09/1998–12/2002) Prudential Securities Incorporated – New York, NY (Registered Representative, 12/1995–09/1998) Dean Witter Reynolds Inc. – Purchase, NY (Registered Representative, 03/1994–12/1995)

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Nov 19, 2025

B. Riley Wealth Management Broker Jack Bruscianelli Under Investigation For Unsuitable Investment Recommendations and Sales Practice Violations FINRA Complaint

Jack F. Bruscianelli (CRD# 2113986) is a longtime stockbroker and general securities principal currently registered with B. Riley Wealth Management in Oakbrook Terrace, Illinois, and our firm is investigating allegations that he recommended unsuitable investments and engaged in other sales practice violations that led to significant investor losses. Stockbroker’s Career History According to FINRA BrokerCheck, Jack F. Bruscianelli has been in the securities industry since 1991 and is currently approved as both a General Securities Representative and General Securities Principal with B. Riley Wealth Management (CRD# 2543). He is licensed in approximately 20 U.S. states and territories, including Illinois, Florida, New York, California, and Texas. His current registrations and branch offices include: B. Riley Wealth Management, 40 South Main, Suite 1600, Memphis, Tennessee – main office B. Riley Wealth Management, 1 Tower Lane, Suite 2225, Oakbrook Terrace, Illinois – branch office B. Riley Wealth Management, 200 South Wacker Drive, Suite 700, Chicago, Illinois – branch office Bruscianelli’s prior registrations include a long tenure at National Securities Corporation and several other firms: National Securities Corporation (CRD# 7569), Oakbrook Terrace, IL – 01/2002 to 07/2022 First Union Securities Financial Network, Inc. (CRD# 11025), St. Louis, MO – 02/1999 to 12/2001 Auerbach, Pollak & Richardson Inc. (CRD# 29824), Stamford, CT – 01/1999 to 02/1999 The Agean Group, Inc. (CRD# 30835), Boca Raton, FL – 11/1998 to 11/1998 H.J. Meyers & Co., Inc. (CRD# 15609), Rochester, NY – 09/1994 to 10/1998 Hibbard Brown & Co., Inc. (CRD# 18246), New York, NY – 03/1991 to 09/1994

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Nov 19, 2025

Global Financial Services Broker Eduardo Leon Jr. Under Investigation For Unsuitable Volatility-Linked ETN and Foreign Currency Bond Recommendations FINRA Complaint

Our firm is investigating Global Financial Services broker and registered account representative Eduardo Leon Jr (CRD# 2232647) of Houston, Texas for potential investment-related misconduct, including allegedly unsuitable recommendations in volatility-linked exchange-traded notes and concentrated positions in non-U.S. corporate bonds that have drawn a FINRA regulatory action and multiple six-figure customer complaints. Financial Advisor’s Career History Eduardo Leon Jr has spent his entire securities career in the brokerage industry. Since July 1994, he has been registered with Global Financial Services, L.L.C. (CRD# 35699), working out of the firm’s branch office at 1330 Post Oak Blvd., Suite 2100, in Houston, Texas. He is approved as a General Securities Principal, General Securities Representative, and Securities Trader and is licensed in Colorado, New York, and Texas. Before joining Global Financial Services, Leon was previously registered with: GBM International, Inc. (CRD# 28684) in Houston, Texas from June 1992 to March 1994. Kidder, Peabody & Co. Incorporated (CRD# 7613) in New York, New York from February 1994 to July 1994.

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Nov 19, 2025

Ceros Financial Services Broker Thomas Anthony Kieffer Under Investigation For Breach of Duty and Unsuitable Investments FINRA Complaint

Our firm is investigating former Ceros Financial Services broker and financial planner Thomas Anthony Kieffer (CRD# 269086) of Chesterfield, Missouri, concerning customer complaints involving managed stock portfolios, alleged breach of duty, negligence, and unsuitable investment recommendations. Stockbroker’s Career History According to his FINRA BrokerCheck report, Thomas Anthony Kieffer entered the securities industry in 1971 and is currently not registered as a broker with any FINRA member firm. He has spent much of his career associated with firms in Arizona and Missouri while operating an investment-related business in Chesterfield, Missouri. From approximately January 2010 until February 2022, Kieffer was registered as a broker with Ceros Financial Services, Inc. (CRD# 37869) in Chesterfield, Missouri. Before joining Ceros, he was registered with Girard Securities, Inc. (CRD# 18697) in Chesterfield from September 2002 through December 2009. Prior to that, he spent roughly fourteen years with Spelman & Co., Inc. (CRD# 10232) in Phoenix, Arizona, from August 1988 to September 2002. Earlier in his career, Kieffer was associated with First Affiliated Securities, Inc. (CRD# 6871) from May 1980 to August 1988, FSC Securities Corporation (CRD# 7461) from November 1978 to June 1980, and both MONY Sales, Inc. (CRD# 4386) and The Mutual Life Insurance Company of New York (CRD# 2873) from June 1971 to October 1977.

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Nov 18, 2025

TPEG Securities Broker Sandeep Shrivastava Under Investigation For Alleged Misleading Private Placement Recommendations FINRA Complaint

Our firm is investigating TPEG Securities broker Sandeep Shrivastava (CRD# 5003823) of Southlake, Texas for potential investment-related misconduct. Stockbroker’s Career History According to FINRA’s BrokerCheck report, Sandeep Shrivastava is currently registered as a General Securities Representative with FINRA through TPEG Securities, LLC (CRD# 146726), headquartered at 2102 E State Hwy 114, Suite 300, Southlake, Texas. He has been registered with TPEG Securities since January 7, 2015, and holds licenses in at least 25 U.S. states and territories, including California, Florida, Texas, New York, New Jersey, and others. Shrivastava’s Form U4 also reflects parallel investment-related business experience. Since January 2011, he has reported working as a consultant with Trinity Private Equity Group in Southlake, Texas. In addition, he discloses several other investment-related outside business activities where he provides due diligence or oversees family investments, including Magic USA in Santa Clara, California; Wealth Mind Investments LLC in Fremont, California; and Shrivastava Family Holdings LLC in Miami Beach, Florida.

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Nov 18, 2025

Emerson Equity Broker Ryan Sherer Under Investigation For Real Estate Securities Misconduct FINRA Complaint

Our firm is investigating Emerson Equity LLC broker and investment advisor Ryan Jonathan Sherer (CRD# 5952617) of Los Gatos, California, for potential investment-related misconduct involving real estate securities. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Ryan Jonathan Sherer has been in the securities industry since 2012 and has been registered with multiple brokerage and investment advisory firms over his career. Sherer is currently registered as a General Securities Representative with FINRA and licensed in more than two dozen U.S. states and territories through Emerson Equity LLC (CRD# 130032). His current registrations include a branch office in Los Gatos, California, and an investment advisory branch in Reno, Nevada. His registration and employment history includes: Emerson Equity LLC (CRD# 130032) — General Securities Representative and Investment Adviser Representative (2019–Present), with branch locations in Los Gatos, CA and Reno, NV. Sandlapper Securities, LLC (CRD# 137906) — Registered Representative (2015–2019), Los Gatos, CA. Sandlapper Wealth Management, LLC (CRD# 41534) — Investment Adviser Representative (2015–2019), San Jose, CA. SCF Investment Advisors, Inc. (CRD# 123608) — Investment Adviser Representative (2015–2015), Fresno/San Jose, CA. SCF Securities, Inc. (CRD# 47275) — Registered Representative (2015–2015), San Jose, CA. J.P. Turner & Company Capital Management, LLC (CRD# 124446) — Investment Adviser Representative (2013–2015), San Jose, CA. J.P. Turner & Company, L.L.C. (CRD# 43177) — Registered Representative (2012–2015), San Jose, CA. Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) — Registered Representative and Investment Adviser Representative (2013–2014), San Jose, CA.

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Nov 18, 2025

J. Alden Associates Broker Nathan Goad Under Investigation For Alleged Breach of Fiduciary Duty and Negligence in Private Placements FINRA Complaint

Our firm is investigating J. Alden Associates, Inc. broker and Alden Investment Group investment adviser representative Nathan Daniel Goad (CRD# 5421740), based in Wayne, Pennsylvania and Largo, Florida, for potential private placement–related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Nathan Daniel Goad entered the securities industry in 2007 and is currently dually registered with both a broker-dealer and an investment advisory firm. Mr. Goad is presently: A General Securities Representative with J. Alden Associates, Inc. (CRD# 40002) in Wayne, Pennsylvania, registered since January 7, 2022. An Investment Adviser Representative with Alden Investment Group (CRD# 317077), with branch locations in Wayne, Pennsylvania and Largo, Florida, registered since July 28, 2022. His prior registration history includes: Total Solutions Enterprise (Investment Adviser), Bellaire Bluffs, FL – 03/2022 to 12/2022 Alden Capital (Investment Adviser), Belleair Bluffs, FL – 05/2021 to 11/2022 Cetera Investment Advisers LLC (Investment Adviser), Clearwater, FL – 08/2020 to 05/2021 Cetera Investment Services LLC (Broker), Clearwater, FL – 05/2015 to 05/2021 ARS Wealth Advisors (Investment Adviser), St. Petersburg, FL – 07/2011 to 11/2014 Transamerica Financial Advisors, Inc. (Broker), St. Petersburg, FL – 01/2008 to 04/2011 Intersecurities, Inc. (Broker), Tampa, FL – 09/2007 to 11/2007

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Nov 18, 2025

J.P. Morgan Securities Broker Chad Mehle Under Investigation For Unsuitable Securities-Based Loan Strategy and External Real Estate Solicitation FINRA Complaint

Our firm is investigating J.P. Morgan Securities broker and investment advisor Chad Kristopher Mehle (CRD# 7008517) of Irvine, California for potential investment-related misconduct involving an unsuitable securities-based loan strategy and an external third-party real estate investment. Financial Advisor’s Career History Chad Kristopher Mehle entered the securities industry in 2018 and has been registered with multiple large Wall Street firms. According to FINRA BrokerCheck, Mr. Mehle is currently registered as a broker and investment adviser with J.P. Morgan Securities LLC (CRD# 79), working out of a branch office at 3 Park Plaza, Suite 700, Irvine, California. He has been registered with J.P. Morgan Securities since September 20, 2023. Before joining J.P. Morgan Securities, Mr. Mehle was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) in Newport Beach, California from July 2022 until September 2023, where he also held a financial advisor role with Bank of America, N.A. From October 2018 through July 2022, he was registered with Morgan Stanley (CRD# 149777) in Beverly Hills, California, serving in investment-related positions with both Morgan Stanley and Morgan Stanley Private Bank. Before his securities career, Mr. Mehle reported several non-investment roles, including work in real estate and entertainment, but his disclosed investment-related employment over the last decade has been concentrated at Morgan Stanley, Merrill Lynch, and J.P. Morgan.

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Nov 18, 2025

LPL Financial Advisor Alvaro Jiron Under Investigation For Alleged Offshore Annuity Misrepresentation FINRA Complaint

Our firm is investigating LPL Financial LLC broker and investment adviser Alvaro Mauricio Jiron (CRD# 4226147) of Coral Gables, Florida, for potential investment-related misconduct involving alleged misrepresentation of an offshore annuity and other unsuitable investment recommendations. Financial Advisor’s Career History Alvaro Mauricio Jiron has worked in the securities industry for more than two decades and is currently registered with LPL Financial LLC. According to his FINRA BrokerCheck report, he has been registered as a General Securities Representative with FINRA through LPL Financial since February 24, 2023, and as an Investment Adviser Representative since March 13, 2023. His current branch office is located at 2 Alhambra Plaza, Coral Gables, Florida 33134. Over the course of his career, Jiron has been associated with multiple brokerage firms, including: Infinex Investments, Inc. (Coconut Grove, FL / Meriden, CT) – registered as both broker and investment adviser from July 2016 to February 2023. J.P. Morgan Securities LLC (Miami Lakes, FL) – registered as broker and investment adviser from January 2014 to July 2016. LPL Financial LLC (Miami, FL) – previously registered as broker and investment adviser from November 2009 to January 2014. Ameriprise Financial Services, Inc. (Minneapolis, MN) – registered in 2009. VALIC Financial Advisors, Inc. (Miami/Houston) – registered from 2003 to 2004. Merrill Lynch, Pierce, Fenner & Smith Incorporated – registered as broker and later investment adviser from 2001 to 2003. Charles Schwab & Co., Inc. – first reported broker registration beginning in 2000.

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Nov 18, 2025

Emerson Equity Broker Thomas Justice Under Investigation For Non-Traded REIT Unsuitability and Breach of Fiduciary Duty FINRA Complaint

Thomas Gary Justice (CRD# 2786145) is a registered broker with Emerson Equity LLC in San Mateo, California. Our firm is investigating whether investors who purchased non-traded REITs and other real estate investments through Mr. Justice suffered losses due to alleged unsuitability, over-concentration, and misrepresentation in violation of industry rules. Financial Advisor’s Career History According to a 2025 FINRA BrokerCheck report, Thomas Gary Justice has been registered in the securities industry since 1996 and is currently licensed with one FINRA member firm and in two U.S. states. Mr. Justice is presently registered as a General Securities Representative with: Emerson Equity LLC (CRD# 130032), San Mateo, California – registered since November 19, 2020, working from the firm’s main office at 155 Bovet Road, Suite 725, San Mateo, CA 94402. His prior registration and employment history includes: Conover Securities Corporation (CRD# 17129), Bellevue, Washington – registered representative from October 2009 to November 2020. Conover Capital Management (CRD# 118393), Bellevue, Washington – investment adviser representative during several periods between 2010 and 2020. Pacific West Securities, Inc. (CRD# 6390), Kirkland, Washington – broker from December 2008 to October 2009. Pacific West Financial Consultant Inc. (CRD# 108728), Renton, Washington – investment adviser representative in 2009. Private Consulting Group, Inc. (CRD# 45053), Portland, Oregon and Kirkland, Washington – broker from October 1999 to July 2000, and again from February 2001 to December 2008. NFP Securities, Inc. (CRD# 42046), Austin, Texas – broker from July 2000 to February 2001. Pacific Harbor Securities, Inc. (CRD# 8755), Highland, Utah – broker from March 1998 to November 1999. MANEQUITY, Inc. (CRD# 5249), Boston, Massachusetts – broker from September 1996 to March 1998. Mutual Service Corporation (CRD# 4806), Boston, Massachusetts – broker from April 1997 to December 1997.

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