The procedure for expungement before the Financial Industry Regulatory Authority (FINRA) has undergone many changes in the last twenty (20) years.  In December 2017, FINRA released FINRA Regulatory Notice 17-42, proposing additional changes to the customer dispute expungement process that, if approved, will make it incrementally more difficult for Financial Advisors to rid their disclosure […]

The Wolper Law Firm, P.A. is currently investigating claims against Robert Cleary, a Financial Advisor at Stifel Nicolaus in New York, NY.  Robert Cleary has been in the securities industry since the 1980s and previously worked for Gruntal & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May […]

The Wolper Law Firm, P.A. is currently investigating claims against Michael Pepe, a Financial Advisor at Ameriprise in Tampa, Florida.  Michael Pepe has been in the securities industry since the 1980s and previously worked for Gunallen Financial and UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Glenn Lattz is a former Financial Advisor at Gradient Securities in Lady Lake, Florida.  Glenn Lattz has been in the securities industry since the 1980s and previously worked for Traderight Securities and Legacy Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 10, 2018, Glenn Lattz became […]

The Wolper Law Firm, P.A. is currently investigating claims against Michael Arteca, a Financial Advisor at Pruco Securities in Matawan, New Jersey.  Michael Arteca has been in the securities industry since the 2002 and previously worked for New England Securities and Maxim Group. According to publicly available records released by the Financial Industry Regulatory Authority […]

The Wolper Law Firm, P.A. is currently investigating claims against Michael Fitz-Gerald, a former Financial Advisor at Morgan Stanley in San Francisco, CA.  Michael Fitz-Gerald has been in the securities industry since the 1970s and previously worked for UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

The Wolper Law Firm, P.A. is currently investigating claims against Joel Flaningan, a former Financial Advisor at NY Life Securities in Fort Wayne, Indiana.  Joel Flaningan has been in the securities industry since the 2010. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 10, 2018, Joel Flaningan was […]

The Wolper Law Firm, P.A. is currently investigating claims against Ralph Bianchi, a former Financial Advisor at Wells Fargo in Flemington, New Jersey.  Ralph Bianchi has been in the securities industry since the 1980s and previously worked for the GMS Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

The Wolper Law Firm, P.A. is currently investigating claims against Robert Tweed a/k/ Rusty Tweed, a Financial Advisor at Cabot Lodge Securities in San Marino, California.  Robert Tweed a/k/ Rusty Tweed has been in the securities industry since the 1990s and previously worked for Capwest Securities and MAM Securities. According to publicly available records released […]

The Wolper Law Firm, P.A. is currently investigating claims against Barry Connell, a former Financial Advisor at Morgan Stanley in Ridgewood, New Jersey.  Barry Connell has been in the securities industry since 1998 and previously worked at UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June […]