Information for Current and Former Clients of Capitol Securities Management, Inc. Capitol Securities Management, Inc. (CRD#: 14169/SEC#: 801-41033,8-30353) is a broker-dealer and investment advisory firm[...]
Investment Loss Investigations
Information for Current and Former Clients of PFS Investments PFS Investments Inc. (CRD#: 10111/SEC#: 801-72263,8-26486) is a brokerage firm and investment advisory firm. Based in[...]
What Investors Need to Know About Regulatory Actions and Customer Complaints Involving Voya Financial Advisors Voya Financial Advisors (CRD#: 2882/SEC#: 801-46585,8-13987) is a brokerage firm[...]
Philip J. Nalesnik (CRD# 4561380) is a previously registered broker and investment advisor. From 2008 to 2018, Â Mr. Nalesnik was registered with LPL Financial in[...]
Stephen L. Whittaker (CRD# 831764) was a previously registered broker with First Financial Equity from 2012 to 2019, based in Surprise, Arizona. Mr. Whittaker was[...]
Richard Lynn Pittman (CRD#: 2845145), is a registered broker and investment advisor with Cetera Advisors LLC of Memphis, TN. Pittman’s previous employers include Investors Capital[...]
Wilfred Rodriguez Jr. (CRD# 2504369) is a previously registered broker and investment advisor. From 2003 to 2018, Mr. Rodriguez was a representative of Wells Fargo[...]
Robert Witt (CRD#: 2926506) is a former broker and investment advisor (RIA). Most recently, Mr. Witt was employed as a securities representative at Voya Financial[...]
Erin Verespy (CRD#: 2727866) is a previously registered broker and investment advisor (RIA). From 1998 to 2019, Ms. Verespy was employed at HD Vest Investment[...]
Izhar Shefer (CRD# 1759498) is a former FINRA broker and investment advisor. In 2018, Mr. Shefer was associated with APW Capital in Aventura, Florida. Prior[...]