FINRA barred securities broker Johnathon Sawaged [CRD: 7061837, Poughkeepsie, New York], according to publicly available information on FINRA BrokerCheck. Notably, Johnathon Sawaged worked for B. Riley Wealth Management from July 22, 2022 to September 4, 2024, and prior to that, at National Securities Corporation from September 18, 2019 to July 22, 2022. Read the following sections to learn more about the disclosures reported against Sawaged.
Evidently, on May 14, 2025, FINRA issued Case: 2024083242501 sanctioning Johnathon Sawaged. Specifically, Sawaged was barred from association with any FINRA member in all capacities. FINRA alleged that Sawaged violated FINRA Rules 8210 and 2010 linked to an investigation into client payments. On September 3, 2024, B. Riley Wealth Management terminated the broker’s registration for alleged mismanagement of client payments when he worked for a tax services company.
According to FINRA, the regulatory action stemmed from Sawaged’s failure to cooperate with an investigation. Rule 8210 requires brokers to provide testimony, documents, or information related to an inquiry. In this instance, FINRA reportedly made requests for information that Sawaged did not comply with.
Sawaged’s lack of response prevented FINRA from completing its investigation into his activities while registered with B. Riley Wealth Management. Consequently, FINRA determined that barring him from the industry was an appropriate sanction under its enforcement guidelines.
Did you experience losses because of Johnathon Sawaged? If so, contact Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes investor cases on a contingency fee arrangement and advances all costs. Sawaged and brokerage firms Sawaged worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com