John Sommo (CRD#: 3141638) is a previously Registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Dean Witter Reynolds, Inc.; Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and UBS Financial Services, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Kevin McCallum (CRD#: 2222586) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1993 and previously worked for LPL Financial, LLC; NBC Securities, Inc.; Colonial Brokerage, Inc.; and Amsouth Investment Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Dan Droeg (CRD#: 1509210) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1986 and previously worked for United Planners’ Financial Services of America, A Limited Partner; Sagepoint Financial, Inc.; H. Beck, Inc.; Woodbury Financial Services, Inc.; American General Securities, Inc.; SunAmerica Securities, inc.; Advantage Capital […]

Frederick Atiyeh (CRD#: 872352) is a dually registered Broker and Investment Advisor at Crown Capital Securities, L.P., in Whitmore Lake, MI. Broker’s Background He entered the securities industry in 1979 and previously worked for Mutual Service Corporation; Titan/Value Equities Group, Inc.; IDS Marketing Corporation; IDS Life Insurance Company; and IDS Financial Services, Inc. Current And […]

Timothy D. O’brien (CRD# 1182298) was registered advisor at Feltl & Company in Inver Grove Heights, MN. Timothy D. O’brien has been in the securities industry since 1983. Timothy D. O’brien employment history Robert W. Baird & Co. Incorporated, Prudential Securities Incorporated, Dean Witter Reynolds Inc., Piper, Jaffray & Hopwood Incorporated, E.F. Hutton & Company […]

Michael Kamperman (CRD # 2002603) was a Financial Advisor at HD Vest Ivestment Services in Waco, TX from 2014 to 2017. Michael Kamperman was in the securities industry from 1989 to 2017 and previously worked at Prospera Fianacial Services, Inc., UBS Financial Services, Inc., Rotan Mosle Inc., and Shearson Lehman Hutton Inc. According to publicly […]

Timothy Atyeo (CRD # 1544728) is a Financial Advisor at Oppenheimer & Co. in Fort Lauderdale, FL. Timothy Atyeo has been in the securities industry since 1986 and previously worked at CIBC World Markets and PaineWebber. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Timothy Atyeo has been the subject […]

Jeffrey McHale (CRD # 2998580) is a Financial Advisor at Ameriprise Financial Services in Hingham, Massachusetts. Jeffrey McHale has been in the securities industry since 1998 and previously worked at Coburn & Meredith and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey McHale has been the subject […]

Anthony Sica (CRD # 1332626) is a Financial Advisor at Joseph Gunnar & Co., LLC. Anthony Sica has been in the securities industry since 1985 and previously worked for a number of brokerage firms, including Wachovia Securities and Prudential Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Anthony Sica […]

On February 19, 2020, the Dow Jones Industrial Average (“Dow Jones”) and the S&P 500 indices—the two primary benchmarks for measuring the performance of the United States equities market, closed at 29,348 and 3,386, respectively. As of March 18, 2020, both the Dow Jones and S&P 500 indices had declined nearly 35%. During this time, […]