Scott Kemps (CRD # 1849069) is a Financial Advisor at Great Point Capital in Melbourne, FL. Scott Kemps has been in the securities industry since the 1980s and previously worked at Jessup & Lamont and International Assets Advisory. For a copy of Scott Kemp’s CRD, click here According to publicly available records, Scott Kemps has […]

Daniel Poland (CRD # 1230652) is a Financial Advisor at McNally Financial Services in San Antonio, Texas. Daniel Poland has been in the securities industry since the 1980s and previously worked at Park Avenue Securities. For a copy of Daniel Poland’s CRD, click here. As previously reported on this blog, the Wolper Law Firm, P.A. […]

Edward Balmes (CRD#: 2110152) is an Investment Advisor at Moloney Investment Advisory LLC, in Chesterfield, MO. He entered the securities industry in 1990 and previously worked for Moloney Securities Co., Inc.; RT Jones Capital Equities, Inc,; and NYLife Securities, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January […]

Robert Luley, Jr. (CRD # 4176139) was a Financial Advisor at Madison Avenue Securities in Clover, South Carolina. Robert Luley, Jr. has been in the securities industry since 2000 and previously worked at Steele Allstate Financial Advisors, Park Avenue Securities and NFP Securities. Robert Luley, Jr. currently works at Pruco Securities and is dually registered […]

Lee Duckworth (CRD # 2097591) is a Financial Advisor at Triad Advisors LLC in West Warwick, RI. Lee Duckworth has been in the securities industry since 1991 and previously worked at Steele Capital Management, Inc., NFP Securities, Inc., Robert W. Baird & Co. Incorporated, and Northwestern Mutual Investment Services, LLC. As previously reported on this […]

Christopher J. Shaw (CRD # 5011382) is a Financial Advisor at Pruco Securities, LLC in Charlotte, NC. Christopher J. Shaw has been in the securities industry since 2005 and previously worked at Kalos Management and Kalos Capital, Inc. in Belmomt, NC. As previously reported on this blog, the Wolper Law Firm, P.A. is currently representing […]

Daryl Serizawa (CRD #2293939) is a Financial Advisor at Woodbury Financial Services, INC. in Irvine, CA. Daryl Serizawa has been in the securities industry since 1993 and previously worked at ten different brokerage firms including Independent Financial Group, Pacific West Securities, and LPL Financial Corporation. Daryl Serizawa is accused of selling GPB private placements. As […]

Josep Roop (CRD # 2774470) is a Financial Advisor at Dempsey Lord Smith, LLC. In Belmont, NC. Joseph Roop has been in the securities industry since 1996 and previously worked at six different brokerage firms including Kalos Capital and Kalos Management (2009-2019), Wachovia Securities, LLC (2008-2009), and Bank of America Investment Servcies, Inc. (2204-2008). Joseph […]

Willard Pugh (CRD # 1757428) is a financial advisor at National Securities Corporation in Boca Raton, FL and previously worked at Dawson James Asset Management, Cambridge Investment Research, Inc., and Asset Planning Corp. As previously reported on this blog, the Wolper Law Firm, P.A. is currently representing investors across the country in the recovery of […]

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 […]