Gary Thomas Hughes (CRD# 1700976) is a registered investment advisor at Hughes Wealth Management Incorporated in Hermosa Beach, CA. He was previously a registered broker.   Broker’s Background He entered the securities industry in 1987 and previously worked with Yaeger Securities, Dean Witter Reynolds Inc.; BA Investment Services, Inc.; United Pacific Securities, Inc.; Brokers Transaction […]

The Wolper Law Firm represents investors around the country who have lost money in complex investment strategies and products, including Delaware Statutory Trusts, or “DSTs.”  The Epoch Fort Collins DST is a recent example of a DST “gone bad” when its issuer recently notified investors that it could no longer move forward with the project […]

FINRA recently issued a sanction against Concorde Investment Services after it was alleged that the firm sold private placement offerings to investors with whom it did not have an existing relationship and who were not qualified to make those investments. Concorde Investment Services, LLC (CRD# 151604) has been a FINRA member since August 2010. The […]

Mark Huber (CRD#: 5976354) is a dually registered Investment Advisor and broker at Concorde Investment Services, LLC, in Racine, WI. He entered the securities industry in 2011 and previously worked for World Equity Group, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2020, FINRA noted a customer […]

Barry Lemay (CRD#: 306332) is a dually registered Investment Advisor and Broker at Concorde Investment Services, LLC and Concorde Asset Management, LLC in San Jose, CA. He entered the securities industry in 1973 and previously worked for Pacific West Financial Consultants, Inc.; Pacific West Securities, Inc.; VSR Advisory Services; The Masters, Inc.; VSR Financial Services, […]

William Morrow (CRD # 836500) is a Financial Advisor at Concorde Ivestment Services, LLC in San Diego, CA. William Morrow has been in the securities industry since 1977 and previously worked at thirteen different brokerage firms, including Independent Financial Group, LLC, Financial Designs LTD, and QA3 Financial Corp. According to publicly available records released by […]

Joseph Michaeletz (CRD # 1327534) was a Financial Advisor Concorde Investment Services, LLC in Mankato, Minnesota and is currently a Financial Advisor at his self-owned broker-dealer, DAI Securities. Joseph Michaeletz has been in the securities industry since 1984 and previously worked at Triad Advisors, Inc. and Transamerica Financial Advisors, Inc. As previously reported on this […]

David Zupek (CRD # 151604) is a registered Financial Advisor at Concorde Investment Services in Racine, Wisconsin. David Zupek has been in the securities industry since the early 1990s and previously worked at Cambridge Investment Research, H. Beck, Inc. and ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority […]

The Wolper Law Firm, P.A. is currently investigating claims against Larry Werbel, a former Financial Advisor at Concorde Investment Services, Summit Brokerage Services and LPL Financial in Chargin Falls, Ohio.  Larry Werbel first entered the securities industry in 1996. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Larry Werbel has […]