On April 29, 2019, the Wolper Law Firm, P.A., P.A. filed an arbitration claim against Sterne Agee Financial Services (“Sterne Agee”) and Financial Advisor, Richard Wesselt, before the Financial Industry Regulatory Authority (FINRA).  The arbitration relates to alleged sales practice misconduct committed by former Sterne Agee Financial Advisor, Richard Wesselt, who was located in the […]

Richard Labare is a former Financial Advisor at Union Capital Co. in Rancho Mirage, California.  Richard Labare entered the securities industry in 1980 and previously worked for Morgan Stanley & Co.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2019, Richard Labare was sanctioned by FINRA, suspending him […]

Philip Sparacino is a Financial Advisor at First Standard Financial Co. in Staten Island, NY.  Philip Sparacino entered the securities industry in 2007 and previously worked for Brookstone Securitries and Mercer Capital.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2018, a customer filed a complaint against Philip […]

Eric Shanks is a former Financial Advisor at CUSO Financal Services in Richardson, Texas.  Eric Shanks entered the securities industry in 1996 and previously worked for Washington Mutual Financial Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2014, Eric Shanks was “discharged” by CUSO Financial Services for […]

Derrick Trussell is a former Financial Advisor at PFS Investments Inc. in San Antonio, TX.  Derrick Trussel was in the securities industry from 2006 to 2017.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2018, Derrick Trussell was barred by FINRA from associating with any FINRA member firm […]

Steven Zerbarini is a former Financial Advisor at Next Financial Group, Inc. in Safety Harbor, FL.  Steven Zerbarini has been in the securities industry since 1997 and previously worked at IDS Life Insurance Company and Ameriprise Financial Services, Inc.  Steven Zerbarini is not currently associated with any FINRA member firm.  According to publicly available records […]

James Bashaw is a Financial Advisor at International Assets Advisory, LLC in Houston, TX.  James Bashaw has been in the securities industry since 1984 and previously worked at Merrill Lynch, Kidder, Peabody, Thomas White & Co., First America Equities, Suntrust Equitable Securities, J.C. Bradford & Co., UBS, LPL Financial and Wunderlich Securities, Inc.  According to […]

James Bylenga is a former Financial Advisor at LPL Financial LLC in Portage, MI.  James Bylenga has been in the securities industry since 1980 and previously worked at Centennial Securities, Lehman Brothers, Citigroup, Robert Baird & Co. and Comerica.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 5, […]

Michael R. Greenfield is a Financial Advisor at Newbridge Securities Corporation in Boca Raton, FL.  Michael Greenfield has been in the securities industry since 2008 and previously worked at The GMS Group, LLC, Morgan Stanley and Oppenheimer & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Michael Greenfield has […]

William Thurmond is a former Financial Advisor at Alexander Capital, LP in New York, NY.  Alan Appelbaum has been in the securities industry since 1996 and previously worked at EDI Financial, Inc. in El Paso, Texas.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 12, 2019, William Thurmond […]