Timothy Bartelt (CRD#: 2501532) a/k/a “Tim Bartelt” is a registered Broker at Raymond James in Elm Grove, Wisconsin. He entered the securities industry in 1994 and previously worked for Ameriprise Advisor Services, Quick & Reilly, A.G. Edwards and three other brokerage firms, one of which was expelled by FINRA. In May 2021, the Wolper Law […]

Shawn Burke (CRD#: 2615449) is a dually registered Broker and Investment Advisor at Morgan Stanley in Perrysburg, OH. He entered the securities industry in 1995 and previously worked for Wells Fargo Clearing Services, LLC; A.G. Edwards & Sons, Inc; and Smith Barney Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Gary Bowman (CRD 2035699) has been in the securities industry since 1990 and is currently registered with Sagepoint Financial. Gary Bowman was previously registered with Arque Capital and Fox & Co. Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 1, 2021, Gary Bowman was sanctioned by FINRA […]

Ivan Shore is a Financial Advisor at Oppenheimer & Co. in New York, NY. Ivan Shore has been in the securities industry since 1981 and previously worked at Gruntal & Co. In November 2020, the Financial Industry Regulatory Authority (FINRA) sanctioned Ivan Shore, suspending him for a period of three months and imposing a fine. […]

Michael Rubel (CRD # 4935564) is currently a registered Financial Advisor at B. Riley Wealth Management in Red Bank, NJ. Michael Rubel was previously registered at Capitol Securities Management, Inc., Wells Fargo Advisors, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]

Brian Engstrom (CRD # 1838926) was a Financial Advisor at Stifel, Nicolaus & Co. in Pensacola, FL. Brian Engstrom has been in the securities industry since 1989 and previously worked at Oppenheimer & Co. and Josephthal & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 20, 2020, […]

Cecil Ross (CRD # 2391047) is a Financial Advisor at LPL Financial in San Angelo, Texas. Cecil Ross has been in the securities industry since 1993 and previously worked at Raymond James. While at Raymond James, Cecil Ross was engaged in the practice of selling Unit Investment Trust. A Unit Investment Trust is a closed-end […]

Ron Willoughby was a Financial Advisor at Morgan Stanley in Tempe, Arizona.  Ron Willoughby entered the securities industry in 1994 and previously worked at UBS Financial Services.  Currently, Ron Willoughby is registered at Kestra Investment Services in Venice, California.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 6, […]

The Wolper Law Firm, P.A. is currently investigating claims against Raymond James’ with regard to its sales practices involving Unit Investment Trusts (UITs) and, specifically, the sales practices of Raymond James Financial Advisors, Lynne Faust and Michael Faust. Lynne Faust has been in the securities industry since 1981 and her son, Michael Faust, has been […]