Articles Posted in Stockbroker Misconduct

Jerry Rice (CRD#: 375290) is a previously registered broker/advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. His previous employers include Robert Thomas Securities (CRD#: 10147) of St. Petersburg, FL, Smith Barney (CRD#: 7059) of New York City and Lehman Brothers (CRD#:…

FINRA recently barred four brokers after they were individually found to have engaged in elder financial abuse. All four have been barred indefinitely after separate FINRA disciplinary actions. All four have signed Acceptance, Waiver & Consent (AWC) letters after the hearings to settle the claims. They are no longer working…

If you’ve lost money with Aegis Capital Corp. Silver Law Group may be able to help you recover your losses. To discuss how your account was handled, contact us today for a no-cost consultation at 954-755-4799 or by email at ssilver@silverlaw.com. Aegis Capital Corp. is a FINRA (Financial Industry Regulatory…

Kishan Parikh (CRD#:5506554, aka “Sean Parikh”) is a previously registered broker whose last employer was Aegis Capital Corp. (CRD#:15007) of New York, NY. His previous employer was Max International Broker/Dealer Corp. (CRD#:46039), also of New York City, was expelled by FINRA on 1/29/2013. He has been in the industry since…

Clyde Jensen (Clyde Anthony Jensen CRD:#5658476) is a registered broker and investment advisor whose last known employer was TD Private Client Wealth LLC (CRD#:164484) of Tampa, FL. His previous employers include Woodstock Financial Group, Inc. (CRD#:38095) of Valrico, FL, Ameriprise Financial Services, Inc. (CRD#:6363) of Fort Meyers, FL, and Morgan…

Alphonse Stazzone (Alphonse Joseph Stazzone CRD:#4908107) is a previously registered broker and whose last known employer was Monmouth Capital Management LLC (CRD#:290248) of Holmdel, New Jersey. His previous employers include Garden State Securities, Inc. (CRD#:10083) of Red Bank, NJ and Woodstock Financial Group, Inc. (CRD#:38095) of Staten Island, NY. He…

Silver Law Group is investigating Chegg, Inc. (CHGG) on behalf of shareholders who have losses from investing in the company. If you have losses from investing in Chegg, Inc (CHGG), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. Chegg, Inc. is California-based education company that was incorporated in…

Jimmie Summers (Jimmie Darrel Summers CRD#: 1467286, aka, Jim Summers, Jimmy Daryl Summers, Jimmy Summers) is a former registered broker and investment advisor. His last known employer was Waddell & Reed (CRD#:866) of Tulsa, OK. Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc.…

Donatas Belys Vildzius (CRD#: 2202883) is a former broker and registered investment advisor whose last known employer was Network 1 Financial Securities Inc. (CRD#:13577) of Danbury, CT. His previous employers include Rockwell Global Capital LLC (CRD#:142485), also of Danbury, Source Capital Group, Inc. (CRD#:36719), of Westport, CT, and Wachovia Securities,…

Joseph Michaletz (CRD#: 1327534, aka “Joseph Gerard Michaeletz”, “Joseph Gerald Michaeletz” and “Joe Michaletz”) is a currently registered broker and investment advisor currently employed with Dai Securities of Mankato, MN. His previous employers include Concorde Investment Services, LLC (CRD#:151604), Triad Advisors, Inc. (CRD#:25803) and Transamerica Financial Advisors, Inc. (CRD#:3600), all…