According to a recent article in InvestmentNews by Bruce Kelly, former registered representative, JAMES THADDEUS WALESA (JAMES T WALESA, JIM WALESA) is at the center of investor complaints seeking millions of dollars in damages.  Walesa was recently sued by FINRA, which InvestmentNews calls “the first step in the advisor being barred from the securities industry.” Walesa was […]

BRENTON E DITTO (BRENT E DITTO BRENTON EDWARD DITTO) is currently registered as a broker with LPL FINANCIAL LLC of Elizabethtown, Kentucky since 10/30/2014 and is also registered with them as an investment advisor since 7/8/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRENTON E DITTO has 20 years of experience […]

CHUCK A ROBERTS, formerly registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED of New York, NY, from 03/01/2016 - 07/09/2025, was permanently barred by FINRA, according to FINRA’s BrokerCheck, on 7/16/2025.  According to the FINRA report, without admitting or denying FINRA’s findings, CHUCK A ROBERTS consented to the sanction and to the entry of findings that […]

Investors may have incurred losses due to securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Barreca worked for Infinex Investments Inc. from July 1, 2016 to January 22, 2021, and for First Horizon Advisors Inc. from […]

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 […]