Ronald R. Blasczyk (CRD#: 3065429) is a registered broker and investment advisor with Wells Fargo Clearing Services, LLC. Blasczyk is under investigation by FINRA, for[…]
Broker/Advisor Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Nina Jessee (CRD#: 1484808), previously employed at Cetera Advisors, LLC (Cetera) is no longer a registered broker or investment advisor. In November of 2017, she[…]
George Puliafico (CRD#: 1158596) has been a broker registered with Raymond James Financial Services, Inc, in Walpole, MA since 1999. Puliafico’s CRD shows a pending[…]
Robert Ginsberg (CRD#: 5177531) is a registered broker and investment advisor with Woodbury Financial Services, Inc. (Woodbury) in Wallingford, CT. Ginsberg has been with Woodbury[…]
As of November 26, the Financial Industry Regulatory Authority, Inc (FINRA) has barred Frank Dietrich from acting as a broker or associating with broker-dealer firms.[…]
Former UBS Financial Services Inc. broker, David Fagenson (CRD#: 1652012) was suspended last week by the Financial Industry Regulatory Authority, Inc. (FINRA) for numerous unsuitable[…]
On November 16, Robert Lee Basile (CRD#: 2392772), a former Waddell & Reed broker, was barred by financial regulator FINRA after pleading guilty to charges[…]
Sam Aziz (CRD#: 1721932) is a registered broker and investment advisor. Since July of 2018, Mr. Aziz has been employed at David A. Noyes &[…]
Mark Tudor (CRD#: 2842516) is a former registered FINRA broker and investment advisor. From 2014 to 2018, Mr. Tudor was employed at Raymond James &[…]
Thomas Yancey Williams (CRD#: 1372002) is an actively registered securities broker. Since June of 2018, Mr. Williams has been employed at IFS Securities in Atlanta,[…]