Steven Eric Dolgin is a Financial Advisor with Janney Montgomery Scott LLC in Melville, NY.  Steven Dolgin has been in the securities industry since 1983 and previously worked at PaineWebber, Smith Barney, Prudential Securities and Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Steven Dolgin currently has a […]

Thomas E. Sova is a former Financial Advisor at Hornor, Townsend & Kent, Inc. in Baton Rouge, LA.  Thomas Sova has been in the securities industry since 1984.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 27, 2018, Hornor, Townsend & Kent, Inc. terminated Thomas Sova “for violation […]

Michael Rappa is a former Financial Advisor at Foresters Equity Services in San Diego, CA.  Michael Rappa has been in the securities industry since 2004 and previously worked at Princor Financial Services Corp.  The Wolper Law Firm, P.A. previously reported disclosures made by Michael Rappa, including a pending $700,000 complaint for allegedly unsuitable investments.  Since […]

Philip Rosenweig is a Financial Advisor at Westpark Capital in Boca Raton, FL.  Philip Rosenweig has been in the securities industry since 1983 and previously worked at Laidlaw & Company.  In June 2017, Reuters published a report analyzing data issued by the Financial Industry Regulatory Authority (FINRA).  In describing Westpark Capital, Reuters reported that “about […]

Gary Meier is a former Financial Advisor at Cambridge Investment Research in Vancouver, WA.  Gary Meier has been in the securities industry since 1987 and previously worked at Symetra Investment Services and Pacific West Securities.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Gary Meier has six customer complaints […]

Thomas C. Oakes is a former Financial Advisor at Royal Securitries Company in Grand Rapids MI from 2014 to 2017.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 19, 2019, FINRA sanctioned Thomas C. Oakes by barring him from the industry for FINRA rules violations for failing […]

Kirk Bertsch is a former Financial Advisor at Farmers Financial Solutions, LLC in Spearfish, SD.  Kirk Bertsch has been in the securities industry since 2000 and previously worked at Investors Brokerage Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, 2018, the South Dakota Division of Securities […]

Robert Clayson is a former Financial Advisor at Raymond James in Wellesley Hills, MA.  Robert Clayson has been in the securities industry since 1971 and previously worked at Wells Fargo.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 15, 2018, Robert Clayson was discharged from Raymond James for […]

The Wolper Law Firm, P.A. is currently investigating claims against William Hobby, a former Financial Advisor at UBS Financial Services in Atlanta, Georgia.  William Hobby has been in the securities industry since 1992 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Hobby has […]

James Mewhinny is a former Financial Advisor at Morgan Stanley in Dallas, Texas.  James Mewhinny has been in the securities industry since 1978 and worked at Morgan Stanley 2008. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2018, a customer filed a complaint against James Mewhinny, alleging “ATTORNEY […]