Investors reportedly complained about securities broker Juliann Fayard Smith (also known as Julie Smith) [CRD: 1338081, Kansas City, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Smith joined Moloney Securities Co. on September 5, 2003. Keep reading to learn more about the disclosures involving this broker. Moloney Securities Investor Accused Julie Smith Of […]

Investors potentially experienced sales practice violations due to securities broker Jaime Antonio Rullan-Ferrao (also known as Jaime Rullan) [CRD: 2923020, Guaynabo, Puerto Rico], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rullan joined Merrill Lynch on August 3, 2009, as a broker, and on March 15, 2013, as an investment […]

Investors might have sustained losses through securities broker Randall E. Duggan [CRD: 5559097, Bellingham, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Duggan joined Moloney Securities Co. on January 29, 2016, and Moloney Securities Asset Management LLC on February 23, 2016. Keep reading to learn more about the disclosures concerning Randall Duggan. Moloney Securities Investor […]

Soreide Law Group is currently investigating claims on behalf of investors who have sustained losses tied to Inspired Healthcare Capital offerings—following the firm’s abrupt halt of income distributions and new fund issuances amid an ongoing SEC review. SEC Review & Strategic Alternatives A letter dated July 18, 2025 from Inspired’s CEO confirmed that the firm […]

One or more investors possibly experienced losses because of securities broker Duane Scott Pellman [CRD: 2426979, New Bern, North Carolina], according to public information found on FINRA BrokerCheck. Evidently, Pellman worked for Excel Wealth Management LLC from February 2019 to March 2023, and later joined Tactive Advisors LLC in March 2024, while also operating his […]

Investors reportedly complained about securities broker Alejandro Alberto Blanco (also known as Alex Blanco) [CRD: 3146376, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Blanco worked for MML Investors Services LLC from November 22, 2017, to November 3, 2020. Keep reading to learn more about Blanco’s disclosures and […]

Investors potentially experienced sales practice violations due to securities broker Jerome Anthony Messana [CRD: 712315, Manasquan, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Messana joined Aegis Capital Corp. on September 21, 2021. He worked with Dawson James Securities Inc. from February 9, 2008, to October 12, 2021. Keep reading to learn […]

Investors might have sustained losses through securities broker Andrew Jon Galy (also known as Andy Jon Galy) [CRD: 1915564, Metairie, Louisiana], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Galy worked for Cambridge Investment Research Inc. from February 25, 2014, to December 31, 2022. Keep reading to find out more […]

SEC filed a civil action against securities broker David Hilton Page [CRD: 2874899, New York, New York], according to public disclosures. Evidently, David Page worked for Spartan Capital Securities LLC from May 19, 2023, to July 31, 2023, and at SW Financial from August 6, 2018, to May 11, 2023. Keep reading to find out […]