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 rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.