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Month: September 2018

Financial Advisor Timothy Scherwa (Wells Fargo Clearing Services, LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Timothy Scherwa, a former Financial Advisor at Wells Fargo in Morris Plains, NJ, who is currently employed at Capitol Securities Management.  Timothy Scherwa has been in the securities industry since 1997 and previously worked at Morgan Stanley. According to publicly available records released by the […]

Financial Advisor John Schmidt (Wells Fargo Clearing Services, LLC) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against John Schmidt, a former Financial Advisor at Wells Fargo in Dayton, Ohio.  John Schmidt has been in the securities industry since 1980s and previously worked at Stifel Nicolaus. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), o in October 2017, […]

Financial Advisor Michael Bressman (FSG Advisors) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Michael Bressman, a former Financial Advisor at FSG Advisors in Chatham, NJ.  Michael Bressman has been in the securities industry since 1970s and previously worked at Merrill Lynch. According to publicly available records released by the Securities and Exchange Commission (SEC), on September 24, 2018, […]

Financial Advisor Partho Ghosh (NY Life Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Partho Ghosh, a former Financial Advisor at NY Life in New York, NY.  Partho Ghosh has been in the securities industry since 1980s and previously worked at MMC Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 27, […]

Financial Advisor Dwight West (UBS Financial Services, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Dwight West, a Financial Advisor at UBS in Lone Tree, Colorado.  Dwight West has been in the securities industry since the 1980s and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 24, 2018, […]

Financial Advisor Judith Villareal (Corecap Investments, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Judith Villareal, a Financial Advisor at Corecap Investments, Inc. in Southfield, Michigan.  Judith Villareal has been in the securities industry since the 1997 and previously worked for Midamerica Financial Services, which was expelled  from the industry. According to publicly available records released by the Financial […]

Financial Advisor Robert Clark (Moors & Cabot, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Robert Clark, a former Financial Advisor at Moors & Cabot in Boston, Massachusetts.  Robert Clark has been in the securities industry since the 1970s and previously worked for dozens of brokerage firms, including Morgan Stanley. According to publicly available records released by the Financial Industry […]

Financial Advisor David Barber (Madison Avenue Securities) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against David Barber, a former Financial Advisor at Madison Avenue Securities in San Diego, CA.  David Barber has been in the securities industry since the 1980s and previously worked at Fist Midwest Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor Scott Mass (David Lerner Associates, Inc.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Scott Mass, a Financial Advisor at David Lerner & Assoc. in Syosset, New York.  Scott Mass has been in the securities industry since the 1980s and has worked for David Lerner his entire career. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Adam Goodman (Herbert J Sims & Co.) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Adam Goodman, a former Financial Advisor at Herbert J. Sims in Boca Raton, FL.  Adam Goodman has been in the securities industry since the 1990s and previously worked at least one brokerage firm that has since been expelled from the industry. According to publicly available […]