The Goldman Scarlato & Penny investor rights attorney Alan Rosca has launched investigations as to the brokers below, who were recently suspended by the securities regulators according to the Disciplinary and Other FINRA Actions reported for October 2018:

BrokerRegistration HistoryCustomer Disputes
Gregory AdamoAllstate Financial Services, LLCNo
Daniel John FloresWoodbury Financial Services, Inc.Yes
Jose GiraldoMerrill Lynch, Pierce, Fenner & Smith IncorporatedNo
Scott Alfredo MiozziNYLife Securities LLCYes
Yousuf SaljookiWorden Capital Management LLCYes
SW Financial
Legend Securities, Inc.
Tryco Securities, Inc.
Jameson Jeewon ShinLPL Financial LLCYes
Wells Fargo Advisors, LLC
Margaret Brinck SterrM Holdings Securities, Inc.No
Jackie Divono WadsworthWestpark Wealth AdvisorsYes
IMS Securities, Inc.
Stephen Robert WilliamsLPL Financial LLCNo
Eric Anthony ZimmerLPL Financial LLCYes
Garry Nelson Savage Jr.Wall Street Strategies, Inc.Yes
Garry Nelson Savage Sr.Wall Street Strategies, Inc.Yes
Aaron Bronelle WilbanksWilbanks Securities, Inc.Yes

The Goldman, Scarlato & Penny law firm represents investors who lose money as a result of investment-related fraud or misconduct. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of investment-related fraud or misconduct may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at, or through the contact form on this webpage.

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