INVESTORS: FINRA has suspended Roland Terrence Molo from the securities industry indefinitely after he failed to respond to FINRA’s requests for information. Roland Terrence Molo[...]
Broker / Advisor Investigations
Rodriguez is facing six pending customer disputes. Jesus Rodriguez (CRD: 5534184) was registered as a broker with Morgan Stanley from 2009 until 2021. Previously, Rodriguez[...]
Giordano was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Joseph Michael Giordano (CRD: 4737649) is registered as a broker with[...]
Birardi was accused of ignoring red flags that brokers were making excessive, unsuitable trades. Roberto Birardi (CRD: 4737649) is registered as a broker with Aegis[...]
Francoeur was accused of assisting a client with an unapproved investment. Michael Paul Francoeur (CRD: 5534184) was registered as a broker with Cambridge Investment Research[...]
William LeBoeuf is accused of using his personal email to solicit a family member to invest in a pooled real estate investment fund, in addition[...]
Tang is facing two pending customer disputes over the allegations. Clara Tang (CRD: 4852979) was registered as a broker with Cetera Investment Services from 2012[...]
Melilli is also accused of recommending unsuitable investments and forging customer signatures on account documents. David John Melilli (CRD: 5254172) was registered as a broker[...]
Manning is accused of maintaining an outside securities account without notifying his member firm. Garrett Manning (CRD#: 6887127) is registered as a broker and investment[...]
As a result of the failure, Nash’s California securities license was revoked. Adam Jeffrey Nash (CRD#: 6476261) was registered as a broker with Pruco Securities[...]