Jul 16, 2026

Edward Jones Financial Advisor Dominick Profaci Under Investigation For Customer Dispute Alleging Unnecessary CD Liquidation and Unsuitable Portfolio Recommendation

Our firm is investigating Edward Jones financial advisor and stockbroker Dominick E. Profaci (CRD# 6732998) of Poughkeepsie, New York for potential investment-related misconduct. Financial Advisor’s Career History Dominick E. Profaci is currently registered with Edward Jones and works out of the firm’s Poughkeepsie, New York office. He has reported employment as a Financial Advisor with...

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Jul 15, 2026

Edward Jones Financial Advisor Jasen Agee Under Investigation For Negligent Tax Advice FINRA Complaint

Our firm is investigating Edward Jones financial advisor Jasen Reece Agee (CRD# 6321255) of Pauls Valley, Oklahoma for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Jasen R. Agee has been registered with Edward Jones since June 11, 2014, and has also been registered as an investment adviser representative through...

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Jul 14, 2026

Edward Jones Financial Advisor Mario Renteria Under Investigation For Alleged Failure to Follow Customer Instructions (FINRA Complaint)

Our firm is investigating Edward Jones broker and financial advisor Mario Renteria, Jr. (CRD# 5799356) of San Antonio, Texas for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Mario Renteria, Jr. has been registered with multiple firms over the course of his securities industry career and is not currently registered as of...

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Jul 13, 2026

Ceros Financial Services Broker Christopher Kane Under Investigation For Alleged Unsuitability and Overconcentration, FINRA Complaint

Our firm is investigating Ceros Financial Services, Inc. broker Christopher Brandon Kane (CRD# 5486515) of South Norwalk, Connecticut for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Christopher B. Kane has been registered in the securities industry with the following firms: He also reports an outside business activity as a...

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Jul 12, 2026

Emerson Equity LLC Financial Advisor James Raia Under Investigation For Suitability Violations and Misrepresentation in FINRA Customer Complaints

Our firm is investigating Emerson Equity LLC broker and registered representative James John Raia (CRD# 2397301) of Irvine, California for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, James John Raia has been registered with the following brokerage firms (among others) during his securities industry career: James John Raia Fraud...

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Jul 11, 2026

Morgan Stanley Financial Advisor Mark Payne Under Investigation For Alleged Misrepresentations and Unsuitable Options Trading Recommendations | FINRA Complaint

Our firm is investigating Morgan Stanley financial advisor Mark Christopher Payne (CRD# 6803556) of Roseville, California for potential investment-related misconduct. Financial Advisor’s Career History Mark Christopher Payne has been registered with Morgan Stanley since June 2017 and is associated with the firm’s Roseville, California branch office (with an additional listed Morgan Stanley office in Folsom,...

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Jul 11, 2026

NYLIFE Securities LLC Financial Advisor John Taylor Under Investigation For Alleged Variable Annuity Misrepresentation — FINRA Customer Dispute

Our firm is investigating NYLIFE Securities LLC financial advisor John Kimbrough Taylor (CRD# 2024919) of Germantown, Tennessee for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, John K. Taylor is currently associated with NYLIFE Securities LLC and has been registered with the firm since March 26, 1990. His BrokerCheck employment history lists...

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Jul 9, 2026

UBS Financial Services Inc. Financial Advisor Felipe Zegarra Under Investigation For Customer Dispute Alleging Failure to Execute Trades as Requested (FINRA Complaint)

Our firm is investigating UBS Financial Services Inc. financial advisor and stockbroker Felipe Andre Zegarra (CRD# 6803469) of Mount Laurel, New Jersey for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Felipe Andre Zegarra reported the following securities industry registration history: # Felipe Andre Zegarra Fraud Allegations and Investor Complaints...

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Jul 8, 2026

J.W. Cole Financial Advisor Rey Descalso Under Investigation For Alleged Unsuitable REIT and BDC Recommendations in FINRA Customer Complaint

Our firm is investigating J.W. Cole Financial, Inc. broker and investment adviser representative Rey Descalso (CRD# 4906080) of Maitland, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to FINRA BrokerCheck, Rey Descalso has been registered with J.W. Cole Advisors, Inc. (investment adviser representative) since June 28, 2010 and J.W. Cole Financial, Inc. (registered...

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Jul 6, 2026

Ameriprise Financial Advisor Corey Schepper Under Investigation For Unsuitable Real Estate Security Recommendations — FINRA Complaint

Our firm is investigating Ameriprise Financial Services, LLC financial advisor and registered representative Corey Ryan Schepper (CRD# 4413872) of Keego Harbor, Michigan for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Corey Ryan Schepper has been registered with Ameriprise Financial Services, LLC since September 20, 2021, working out of the...

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