Marc Jay Frankel (CRD#: 2671700) is a previously registered investment advisor and broker.   Broker’s Background He entered the securities industry in 2010 and previously worked for Partnervest Advisory Services, LLC.   Allegations of Misconduct According to publicly available records released by the Securities Exchange and Exchange Commission (SEC), in January of 2024, the SEC […]

Jesus Rodriguez (CRD#:4888685) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2005, and previously worked with Merrill Lynch Pierce Fenner & Smith Inc.; Citigroup Global Markets Inc.; and Morgan Stanley.   Allegations of Misconduct According to publicly available records released by The Securities and Exchange Commission […]

Jacob Perry Cazier (CRD#: 6904198) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2018 and previously worked for Allegis Investment Services, LLC; J.W. Cole Financial, Inc.; and Oak Lane Advisors. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Geoffrey Wolterstorff (CRD#: 2711805) is a registered Broker at Lifemark Securities, Inc., in Eau Claire, WI. Broker’s Background He entered the securities industry in 1996 and previously worked for Foresters Equity Service, Inc.; Packerland Brokerage Services, Inc.; Country Capital Management Company; Thrivent Investment Management, Inc.; Ameriprise Financial Services, Inc., and IDS Life Insurance Company. Current […]

Miche Jean (CRD#: 5918186) is a previously registered Broker and Investment Adviser. Broker’s Background He entered the securities industry in 2015 and previously worked for Morgan Stanley. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2023, there is […]

Loren Justin Morrison (CRD#: 4578161) is a dually registered Broker and Investment Adviser at Stifel, Nicolaus & Co., Inc. in Southfield, MI. Broker’s Background He entered the securities industry in 2002 and previously worked for LPL Financial, LLC; Echotrade, LLC; UBS Financial Services, Inc.; and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct […]

Jay Eng (CRD#: 2241817) is a registered Broker and Investment Adviser at Independent Financial Group, LLC in Torrance, CA. Broker’s Background He entered the securities industry in 1992 and previously worked for Kinecta Wealth Management; LPL Financial, LLC; WM Financial Services, Inc.; Electronic Trading Group, LLC; Pule Trading, Inc.; Banc of America Securities, LLC; J.P. […]

The United States Securities and Exchange Commission (SEC) filed a suit against the estate of Stephen R. Swensen and his company, Crew Capital Group, LLC, plus several individuals and other companies owned by the late Stephen R. Swensen. The SEC alleges that more than 50 investors lost more than $29M. It asks that Crew Capital […]

Lee Diedrich (CRD#: 2636095) was dually registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1995 and previously worked for Pruco Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2022, […]

Amanda Berry (CRD#: 5651609) is a previously registered Broker. Broker’s Background She entered the securities industry in 2010 and previously worked for MML Investors Services, LLC; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April […]