One or more investors apparently complained about securities broker Wade MacDonald Wilson (also known as Wade Wilson) [CRD: 3001900, Upper Saint Clair, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wade Wilson has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since March 19, 1998, in the capacity […]

SHERRI LYNN DESJARDINS (SHERRI DESJARDINS, SHERRI L DESJARDINS) according to FINRA’s BrokerCheck, is currently registered both as a broker and as an investment advisor with CENTAURUS FINANCIAL, INC. of Lady Lake, Florida.  Desjardins has been with this firm since 9/18/2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SHERRI L DESJARDINS has […]

Introduction For private companies seeking access to capital markets without the time, cost, and regulatory burden of a traditional IPO, a reverse merger onto the OTC Markets presents an alternative path to going public. While not without legal complexity or reputational risks, a reverse merger—when properly structured and executed—can accelerate a company’s public listing and […]

JONATHAN GABRIEL GAZDAK (JONATHAN G GAZDAK, JOHNATHAN GAZDAK) is currently a broker with ALEXANDER CAPITAL, L.P. of Red Bank, NJ since 5/13/2014. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JONATHAN G GAZDAK has been in the securities industry for 14 years and has been listed with 4 firms.  Gazdak has 2 […]

Investors potentially experienced sales practice violations because of securities broker Scott Christopher Grove [CRD: 2813738, Newport Beach, California], based on disclosures on FINRA BrokerCheck. Evidently, Grove has been affiliated with MML Investors Services LLC since January 4, 2002, in his capacity as a broker, and since March 16, 2021, in his capacity as an investment […]

Investors potentially experienced sales practice violations due to securities broker Brett Aubrey Vetensky (also known as Brett Aubry Vetensky) [CRD: 4143000, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brett Vetensky worked for Wells Fargo Clearing Services LLC from December 4, 2009, to June 11, 2019. […]

Investors potentially experienced sales practice violations because of securities broker Richard Kevin Kubiak [CRD: 2856073, Clarence Center, New York], based on disclosures through FINRA’s BrokerCheck. Kubiak has been registered with Ameriprise Financial Services LLC at its Cheektowaga, New York location since February 24, 1997, and at the firm’s Clarence Center, New York location since June […]

One or more investors apparently complained about securities broker Roxane Lillian Rose (also known as Roxane Rose, Roxanne Lillian Welz) [CRD: 2722816, Santa Fe, New Mexico], based on disclosures on FINRA BrokerCheck. Evidently, Roxane Rose has been registered with Merrill Lynch Pierce Fenner Smith Incorporated from September 22, 1999, to the present. Below, you can […]

THOMAS A VIGIL, according to FINRA’s BrokerCheck, has been in the securities industry for 23 years and was listed with 9 firms.  FINRA has suspended THOMAS A VIGIL from acting as a broker for 12 months with a starting date of 5/5/2025 and an ending date of 5/4/2026.  Vigil was also fined $10,000.00 and ordered […]