Stephen Romney Swensen (CRD#:2885578) was a registered broker and investment advisor.   Broker’s Background He entered the securities industry in 1997 and previously worked with Robert W. Baird & Co.; Northwestern Mutual Investment Services; Park Avenue Securities, LLC; Securian Financial Services, Inc.; Commonwealth Financial Network; Summit Brokerage Services, Inc.; Allegis Investment Services, LLC; J.W Cole […]

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 […]

Shawn Good (CRD#: 2022168) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; and Charles Schwab & Co, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss In April 2022, United States Securities […]

James Seijas (CRD#: 2392901) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1997 and previously worked for Wells Fargo Clearing Services, LLC; TD Ameritrade, Inc.; Fidelity Brokerage Services, LLC; Barclays Capital, Inc.; Banc of America Specialist, Inc.; Fleet Securities, Inc.; and Quick & […]

Ponzi schemes are, unfortunately, one of the most common types of investment fraud within the securities industry. Many investors trust that their brokers do their due diligence before recommending investment opportunities; others may not have the time or experience to do their own research before taking a chance on an investment that sounds promising.  However, […]

Ronald Roach (CRD # 3216784) was a former Financial Advisor at Securities America in Walnut Creek, California. Ronald Roach has been in the securities industry since 1999 and previously worked at Brecek & Young Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 23, 2019, Securities America terminated […]

Herbert Hafen (CRD # 867068) is a former Financial Advisor at Wells Fargo and Morgan Stanley in New York, NY.  Herbert Hafen has been in the securities industry since 1979 and previously worked at Bear, Stearns.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2018, Wells Fargo […]

Kirk Bertsch is a former Financial Advisor at Farmers Financial Solutions, LLC in Spearfish, SD.  Kirk Bertsch has been in the securities industry since 2000 and previously worked at Investors Brokerage Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, 2018, the South Dakota Division of Securities […]

The Wolper Law Firm, P.A. is currently investigating claims against Douglas Simanski, a former Financial Advisor at NEXT Financial Group in Altoona, Pennsylvania. Sean Kelly has been in the securities industry since 2000 and previously worked at Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 2, […]

The Wolper Law Firm, P.A. is currently investigating claims against John Ernst, a former Financial Advisor at Forresters Equity Services in San Diego, California.  John Ernst has been in the securities industry since 1989 and previously worked at ING Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]