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February 17, 2025
Jason Netrosio Faces LPL Client Complaint About Unauthorized Trading

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been […]

February 13, 2025
Donald Hancock Faces SEC Sanctions For Unsuitable Advice

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Donald Ralph Hancock [CRD: 828811, Manchester, Missouri]. Hancock has worked in the securities industry for over 48 years, holding registrations with several firms, including Moloney Securities Co. Inc. since 2010 and Moloney Securities Asset Management LLC since 2016. Recent disclosures highlight regulatory concerns and […]

February 12, 2025
David LaGrange (Moloney Securities Co. Inc.) Issued SEC Order to Cease and Desist

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Francis LaGrange (also known as David LaGrange) [CRD: 4200976, Winterset, Iowa]. LaGrange has been registered with Moloney Securities Co. Inc. since July 31, 2012, and has over 24 years of experience in the securities industry. Recent disclosures reveal concerns about LaGrange’s conduct, including […]

January 26, 2025
Adam Jacobs Facing Allegations of Misconduct at Oppenheimer & Co. Inc.

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Adam Ryan Jacobs [CRD: 4990788, Beachwood, Ohio]. Adam Jacobs has been employed with Oppenheimer & Co. Inc. since January 23, 2009. He has spent over 15 years with the firm and currently serves as a financial advisor in its Beachwood, Ohio branch. Recent disclosures […]

January 13, 2025
Brian Nelson’s Clients File Arbitration Claims

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Jensen Nelson [CRD#: 5065593, Mission Viejo, California]. Nelson is registered with Emerson Equity LLC and has worked there since December 2, 2013. His professional history spans seven firms over 18 years. Recent disclosures reveal concerns about Nelson’s conduct, including multiple pending arbitration claims […]

January 9, 2025
John Wolf Faces Allegations From Cornerstone Financial Planning Client

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin]. Evidently, John Wolf worked for several firms throughout his career, including Purshe Kaplan Sterling Investments from November 2009 to January 2016, Raymond James Financial Services from June 1996 to September 2009, and Banc One Securities Corporation from […]

January 7, 2025
Fred Chen Facing Allegations at Emerson Equity LLC

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Fred Chen (also known as Fredrick Chen) [CRD: 5766069, Irvine, California]. Fred Chen worked for LPL Financial LLC from August 17, 2017, to May 15, 2018, Arque Capital, Ltd. from May 8, 2018, to February 24, 2020, and has been employed with Emerson Equity […]

December 30, 2024
Joseph Storzinger Faces Negligence Allegations by IBN Client

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joseph Edward Storzinger (also known as Joe Storzinger) [CRD: 2554671, Liverpool, New York]. Joseph Storzinger worked for American Portfolios Financial Services, Inc. in Massapequa, New York, from March 2017 to December 2018. He later joined Traderfield Securities Inc. in Massapequa, New York, from January […]

October 31, 2024
Ruben Frezzotti Discharged from Raymond James Amid Allegations

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]

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