INVESTORS: Emerson Equity broker Robert Wyla Melberth was named in multiple customer disputes alleging breach of fiduciary duty, breach of contract, and other forms of misconduct. Robert Wyla Melberth (CRD: 4775230) has been registered as a broker with Emerson Equity since 2020. Previously, Melberth was registered as a broker with Aegis Capital from 2015 until [...]
INVESTORS: Reid & Rudiger LLC broker Edward Joseph Rudiger Jr. was named in a customer dispute alleging unsuitable recommendations and unauthorized transactions. Edward Joseph Rudiger Jr. (CRD: 2118724) has been registered as a broker with Reid & Rudiger LLC Securities since 1999. Previously, Rudiger was registered as a broker with Nichols, Safina, Lerner & Co. [...]
INVESTORS: Insigneo Securities broker Ariel Rivero was named in a customer dispute alleging breach of fiduciary duty, failure to supervise, and other forms of misconduct. Ariel Rivero (CRD: 4236679) has been registered as a broker with Insigneo Securities since 2021. Previously, Rivero was registered as a broker with Leucadia Asset Management from 2016 until 2022. [...]
INVESTORS: Former ProEquities, Inc. broker Adam Feierstein was named in multiple customer disputes alleging recommendation of unsuitable investments. Adam Feierstein (CRD: 6033082) was registered as a broker with ProEquities, Inc. from 2018 until 2020. Previously, Feierstein was registered as a broker with Woodbury Financial Services from 2013 until 2018. Feierstein has eight disclosures on his [...]
INVESTORS: Newbridge Securities Corporation broker Nicholas Michael Giallourakis was named in a customer dispute alleging he recommended unsuitable investments, among other forms of misconduct. Nicholas Michael Giallourakis (CRD: 4496285) has been registered as a broker with Newbridge Securities Corporation since 2016. Previously, Giallourakis was registered as a broker with VSR Financial Services from 2004 until [...]
INVESTORS: Wells Fargo broker William Randall Moening was named in customer disputes alleging he misrepresented an investment to a client. William Randall Moening (CRD: 3029155) has been registered as a broker with Wells Fargo since 2009. Previously, Moening was registered as a broker with Banc of America Investment Services from 1998 until 2009. Moening has [...]
INVESTORS: American Trust Investment Services Broker was named six pending customer disputes alleging breach of fiduciary duty and unsuitable investment recommendations. David Richard Geake (CRD#: 3088891) is registered as a broker and investment adviser with American Trust Investment Services, where he has been employed since 2018. Previously, Geake was registered as a broker and investment [...]
INVESTORS: CreativeOne Securities broker Michael Jon Binstock was named in customer disputes alleging he misled and lied to customers. Michael Jon Binstock (CRD: 2728462) has been registered as a broker with CreativeOne Securities since 2018. Previously, Binstock was registered as a broker with Investment Advisors Corp. from 2004 until 2018. Binstock has eight disclosures on [...]
INVESTORS: Former Securities America broker Kimberly Elizabeth Nuessmann was suspended by FINRA following allegations she impersonated a dead client. Kimberly Elizabeth Nuessmann (CRD: 1596560) was registered as a broker with Securities America from 2011 until 2022. Nuessmann has two disclosures on her BrokerCheck report. One disclosure related to a personal criminal charge. December 2022 Regulatory [...]
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