On May 25, 2025, the Financial Industry Regulatory Authority issued a series of disciplinary actions against broker/dealer, David Lerner Associates Inc. (DLA), and several of the company’s associates for allegedly recommending unsuitable investments in proprietary, illiquid, energy-focused limited partnerships to retail customers, including seniors and unsophisticated investors. According to a recent article from InvestmentNews, David […]

KATIE WEI (LANTING WEI) has been registered as a broker and as an investment advisor with AMERIPRISE FINANCIAL SERVICES, LLC, REDWOOD CITY, CA since 2/26/2025.  Before Ameriprise, KATIE WEI was listed as a broker with CETERA INVESTMENT SERVICES LLC OF ARCADIA, CA from 06/05/2015 - 11/21/2024, and as an investment advisor with CETERA INVESTMENT ADVISERS LLC […]

The Tampa, Florida-based Calton & Associates, Inc. has agreed to pay $37,500.00 to settle Financial Industry Regulatory Authority (FINRA) charges that it allegedly violated municipal securities rules, including allegedly failing to disclose required mark-up and mark-down information on hundreds of retail customer confirmations. According to an article from Fidelity.com, the $37,500.00 fine for violating Municipal […]

The Financial Industry Regulatory Authority (FINRA) has censured and fined AAG Capital, Inc., $100,000.00 and ordered them to pay $38,591.39 plus interest in restitution to customers. FINRA found that the firm’s practices surrounding registered index-linked annuities (RILAs) allegedly did not comply with Regulation Best Interest standards. The order was initiated May 20, 2025. According to a […]

MARTIN ALLAN BARTH (MARTIN A BARTH) has been suspended by FINRA for 16 months, with a start date of 4/21/2025 and an end date of 8/20/2026.  FINRA stated that in light of Barth's financial status, no monetary sanctions have been imposed. MARTIN A BARTH was most recently listed as a broker with NI ADVISORS of […]

GREGORY L WILSON (GREG WILSON) has been registered with GL TRUST, INC of Whittier, California, as an investment advisor since 1/29/2021.  GL TRUST was formerly known as ORTIZ WORLD WEALTH. According to the SEC's website, Greg Wilson was previously registered as an investment advisor with DAVID ORTIZ ADVISORS INC of Whittier, California from 01/15/2019 - […]

Soreide Law Group has been handling cases related to LIFEMARK SECURITIES CORP and awards in favor of the clients have been announced. Several investors have contacted us regarding the alleged sale of GWG L-bonds. Approximately $1.6 billion in GWG L bonds have been sold over the past ten years by over 40 broker/dealers. GWG Holdings, Inc. […]

JORDAN P RIDER is currently registered with LPL FINANCIAL LLC of Leawood, Kansas. Rider has been registered as a broker with LPL FINANCIAL since 12/14/2010 and as an investment advisor since 7/14/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JORDAN P RIDER, has 17 years of experience in the securities industry […]

STEPHEN ROBERT MAROTTO (STEPHEN R MAROTTO, STEPHEN MAROTTO, STEVE MAROTTO) is currently registered with MORGAN STANLEY in San Francisco, California.  Marotto has been registered both as a broker and as an investment advisor with MORGAN STANLEY since 4/28/2023.  He was previously registered with FIRST REPUBLIC INVESTMENT MANAGEMENT, INC of San Francisco, California, as an investment advisor […]