The Rosca Scarlato 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:
Broker | Registration History | Customer Disputes |
Gregory Adamo | Allstate Financial Services, LLC | No |
Daniel John Flores | Woodbury Financial Services, Inc. | Yes |
Jose Giraldo | Merrill Lynch, Pierce, Fenner & Smith Incorporated | No |
Scott Alfredo Miozzi | NYLife Securities LLC | Yes |
Yousuf Saljooki | Worden Capital Management LLC | Yes |
SW Financial | ||
Legend Securities, Inc. | ||
Tryco Securities, Inc. | ||
Jameson Jeewon Shin | LPL Financial LLC | Yes |
Wells Fargo Advisors, LLC | ||
Margaret Brinck Sterr | M Holdings Securities, Inc. | No |
Jackie Divono Wadsworth | Westpark Wealth Advisors | Yes |
IMS Securities, Inc. | ||
Stephen Robert Williams | LPL Financial LLC | No |
Eric Anthony Zimmer | LPL Financial LLC | Yes |
Garry Nelson Savage Jr. | Wall Street Strategies, Inc. | Yes |
Garry Nelson Savage Sr. | Wall Street Strategies, Inc. | Yes |
Aaron Bronelle Wilbanks | Wilbanks Securities, Inc. | Yes |
The Rosca Scarlato 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 arosca@rscounsel.law, or through the contact form on this webpage.