Yvette Barrera (Yvette Villanueva Barrera) is currently registered as an investment advisor with Foundations Investment Advisors LLC of New Braunfels, Texas, since 1/14/2025.  Yvette Barrera was previously registered with Texas Financial Advisory of San Antonio, Texas, from 10/23/2020 - 12/22/2024. According to the SEC’s website, Yvette Barrera, has been in the securities industry for four […]

CHRISTOPHER ROBERT WEEKS (CHRISTOPHER R WEEKS, CHRIS WEEKS) according to the SEC’s website, is currently an investment advisor with CREATIVE PLANNING of Overland Park, Kansas since 10/29/2015. He was previously registered as a broker with Northwestern Mutual Investment Services, LLC in Leawood, Kansas (2014–2015 and 2008-2013), and American Century Investment Services, Inc. in Kansas City, […]

Soreide Law Group is currently investigating claims made by investors who purchased GWG L Bonds from: RAY DON GALLETTE (RAY D GALLETTE) and/or his daughter, LORRAINE MARIE GALLETTE (LORRAINE M GALLETTE, LORRAINE MARIE SCHMIDT, LORRAINE SCHMIDT). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAY D GALLETTE was previously listed with Coastal […]

CHAD MICHAEL ROGERS (CHAD M ROGERS), was formerly registered as a broker with IFP Securities LLC, of Oklahoma City, Oklahoma from 06/02/2022 - 09/15/2023, and before IFP he was registered as a broker with The O.N. Equity Sales Company, of Oklahoma City from 04/25/2013 - 06/01/2022. According to FINRA’s BrokerCheck, CHAD M ROGERS was previously registered […]

DAVID JONATHAN MILLER (DAVID J MILLER) has been registered both as an investment advisor and as a broker with RBC CAPITAL MARKETS, LLC of Huntington, West Virginia, since 3/13/2009. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DAVID J MILLER has 31 years of experience in the securities industry and has been […]

JASON JEANQUART has been registered as a broker since 10/16/2017 and as a financial advisor since 5/26/2020 with CENTAURUS FINANCIAL, INC. of Lexington, South Carolina. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JASON JEANQUART has been in the securities industry for 7 years.  JASON JEANQUART has 2 disclosures on his FINRA […]

PAUL XAVIER NANNICELLI (PAUL X NANNICELLI) was suspended for eight months and fined $5,000.00 by the Financial Industry Regulatory Authority (FINRA), according to FINRA’s BrokerCheck dated 6/30/2025. Nannicelli was with LPL FINANCIAL of Mont Vernon, New Hampshire, from 05/27/1993 - 08/28/2023.  According to FINRA’s BrokerCheck, PAUL X NANNICELLI has 40 years of experience in the […]

In a litigation release from the Securities and Exchange Commission (SEC) dated June 27, 2025, it was announced that the SEC has filed settled charges against RAJESH MARKAN, formerly a registered representative and investment advisor with MERRILL LYNCH and HILLTOP SECURITIES, for allegedly soliciting his brokerage customers to invest in a fake private equity fund. […]

Were you a client of WILLIAM ROBERT YOUNG (BILL YOUNG, WILL R YOUNG) and were recommended purchasing GWG L Bonds or Spring Hill Holdings? Currently Young is registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Gaithersburg, Maryland since 10/16/2023.  WILL R YOUNG was previously registered as an […]