A National Securities Arbitration & Investment Fraud Law Firm
Leslie Jackson (Leslie Don Jackson CRD# 2176917) is a previously registered broker and investment advisor last employed with Momentum Independent Network Inc. (CRD# 17587), of Dallas Texas, where he spent his entire 31-year career. He began in the industry at Momentum in 1991. Momentum discharged Jackson on 12/9/2022 and filed…
Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. (CRD# 31029) of Hato Rey, PR. His previous employers included Oriental Financial Services Corp. (CRD# 29753) of Ponce, PR, Samuel A Ramirez & Co., Inc. (CRD# 6963) of…
Fernando Silva (CRD# 7326519) is a former registered broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Tucson, AZ. His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. He has been in the business since 2021. Morgan Stanley terminated Silva’s employment on 9/8/2022 amid…
John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment…
John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. (CRD#:7059) of El Segundo, CA, and Merrill Lynch,…
Brian Wurdemann (Brian M. Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. His previous employers include UBS Financial Services Inc. (CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and…
Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. (CRD#: 10111) of Lake Worth, FL. He has been in the industry since 2000. Three customers filed disputes alleging that Hobbs made unsuitable investment recommendations in their non-PFS accounts. The disputes…
Joseph Todd (Joseph Michael Todd CRD# 1830390) is a previously registered broker and investment advisor whose last known employer was Centaurus Financial (CRD# 30833) of Crystal River, FL. Previously, Todd has worked for Investors Capital Corp. (CRD# 30613) and Edward Jones (CRD# 250) of Homosassa, FL and Invest Financial Corporation…
Most investors believe that their brokers will trade on their behalf with their best interests in mind. In fact, they’re required to in accordance with Regulation Best Interest, or Reg BI. In a nutshell, brokers must always use the investor’s best interest as their benchmark before making any recommendation. This…
Andrew Miles (Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. Previously, he was registered with The Strategic Financial Alliance, Inc. (CRD#:126514) of Vero Beach, FL. He has been in the industry…