Feb 24, 2026

Independence Capital Co., Inc. Advisor Dennis Twarogowski Under Investigation For Alleged Failure to Supervise (FINRA Complaint)

Our firm is investigating Independence Capital Co., Inc. broker and investment adviser Dennis Clarence Twarogowski (CRD# 1033169) of Parma, Ohio for potential investment fraud and other investment-related misconduct. Financial Advisor’s Career History Based on his BrokerCheck report, Dennis Clarence Twarogowski has been registered with the following firms during his securities industry career: Dennis Clarence Twarogowski...

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Feb 24, 2026

Northwestern Mutual Investment Services, LLC Financial Advisor Ryan Walterhoefer Under Investigation For Alleged Unsuitable Variable Annuity Recommendations In FINRA Customer Complaint

Our firm is investigating Northwestern Mutual Investment Services, LLC financial advisor Ryan Michael Walterhoefer (CRD# 5198969) of Ellicott City, Maryland for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Walterhoefer has been registered with Northwestern Mutual Investment Services, LLC since September 19, 2008, and he is associated with a branch...

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Feb 23, 2026

Citigroup Global Markets Inc. Financial Advisor Christopher Russo Under Investigation For Alleged Failure to Invest 401(k) Rollover as Instructed (FINRA Complaint)

Our firm is investigating Citigroup Global Markets Inc. financial advisor Christopher J. Russo (CRD# 4325820) of Jacksonville, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA registration history, Christopher J. Russo has been registered in the securities industry with multiple firms, including JNK Securities Corp. (11/2000–01/2008), Credit Suisse Securities (USA) LLC...

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Feb 22, 2026

Arkadios Capital Broker Nicholas Stafford Under Investigation For Alleged Unsuitable Private Placements in FINRA Complaint

Our firm is investigating Nicholas Thomas Stafford (CRD# 2900449), a stockbroker and investment adviser representative with ARKADIOS CAPITAL and ARKADIOS WEALTH ADVISORS in Atlanta, Georgia, for potential investment-related misconduct. Stockbroker’s Career History Based on the BrokerCheck report, Nicholas Thomas Stafford has been registered with: Nicholas Thomas Stafford Fraud Allegations and Investor Complaints Explained FINRA BrokerCheck...

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Feb 21, 2026

Edward Jones Financial Advisor Victor Rodriguez Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Edward Jones financial advisor Victor M. Rodriguez (CRD# 2900010) of Estero, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Victor M. Rodriguez has been registered with Edward Jones since April 2023 and previously held registrations with multiple firms, including Merrill Lynch, UBS Financial Services,...

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Feb 20, 2026

EDWARD JONES Financial Advisor Lawrence Widener Under Investigation For Alleged Unauthorized Trading FINRA Complaint

Our firm is investigating EDWARD JONES broker and investment adviser representative Lawrence E. Widener (CRD# 2814289) of Davenport, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on his public registration history, Lawrence E. Widener has been associated with EDWARD D. JONES & CO., L.P. since approximately September 1996, and he has been registered...

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Feb 19, 2026

Bankers Life Securities, Inc. Financial Advisor Joshua Sievers Under Investigation For Alleged Misrepresentation of Annuity Surrender Period and Penalties in FINRA Customer Complaint

Our firm is investigating Bankers Life Securities, Inc. financial advisor Joshua William Sievers (CRD# 6927788) of Fort Wayne, Indiana for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Sievers reported the following employment history: Joshua William Sievers Fraud Allegations and Investor Complaints Explained BrokerCheck reflects one disclosed customer dispute for Sievers....

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Feb 18, 2026

Merrill Lynch Financial Advisor Jason Griffin Under Investigation For Alleged Unauthorized and Excessive Trading FINRA Complaint

Our firm is investigating Merrill Lynch financial advisor Jason R. Griffin (CRD# 2725523) of Monterey, California for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Griffin’s securities industry registration history includes: The report also reflects investment-related employment entries showing Griffin as a Financial Advisor (AGP) with Bank of America, N.A. (08/2019–Present)...

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Feb 17, 2026

Ameriprise Financial Services, LLC Financial Advisor Tamara Huey Under Investigation For Alleged Unsuitable Recommendation in FINRA Complaint

Our firm is investigating Tamara Beatrice Huey (CRD# 2174723), a financial advisor with Ameriprise Financial Services, LLC working out of San Diego, California, for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Tamara Beatrice Huey has been registered with Ameriprise Financial Services, LLC since April/May 1999. Her recent employment history lists:...

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Feb 16, 2026

Equitable Advisors, LLC Financial Advisor Stuart Valen Under Investigation For Alleged Misrepresentation in FINRA Customer Complaint

Our firm is investigating Equitable Advisors, LLC financial advisor Stuart W. Valen (CRD# 2144229) of Pittsburgh, Pennsylvania for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Stuart W. Valen has been registered with Equitable Advisors, LLC since May 16, 1991, and works out of the firm’s Pittsburgh, Pennsylvania branch office....

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