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Jiaqi Chen, Broker with Cetera Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments

By |2022-08-10T15:02:11-04:00August 2nd, 2022|Broker / Advisor Investigations|

INVESTORS: Cetera Investment Services broker Jiaqi Chen is facing a pending customer dispute alleging recommendation of unsuitable investments. Jiaqi Chen (CRD#: 6048832) is registered as a broker and investment adviser with Cetera Investment Services, where he’s been employed since 2013. Previously, Chen was registered as a broker and investment adviser with J.P. Morgan Securities from [...]

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Jennifer Marcontell, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Failure to Follow Instructions

By |2022-08-10T14:58:33-04:00August 1st, 2022|Broker / Advisor Investigations|

INVESTORS: Ameriprise Financial Services broker Jennifer Marcontell is facing a pending customer dispute alleging failure to follow instructions. Jennifer Marcontell (CRD#: 4008873) is registered as a broker with Ameriprise Financial Services, where she’s been employed since July 2022. Previously, Marcontell was registered as a broker and investment adviser with Edward Jones from 1999 until 2022. [...]

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Jason Paul Collichio, Broker with Landolt Securities, Facing Customer Disputes Alleging Unsuitable Investment Recommendations

By |2022-08-08T14:56:48-04:00July 29th, 2022|Broker / Advisor Investigations|

INVESTORS: Landolt Securities broker Jason Paul Collichio is facing multiple pending customer disputes alleging recommendation of unsuitable investments. Jason Paul Collichio (CRD#: 4727199) is registered as a broker with Landolt Securities, where he’s been employed since September 2021. Previously, Collichio was registered as a broker with Worden Capital Management from 2009 until 2021. Collichio has [...]

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Christopher Michael Setaro, Broker with NPM Securities, Facing Customer Dispute Alleging Failure to Supervise

By |2022-08-08T14:53:27-04:00July 29th, 2022|Broker / Advisor Investigations|

INVESTORS: NPM Securities broker Christopher Michael Setaro is facing a pending customer dispute alleging failure to supervise. Christopher Michael Setaro (CRD#: 2635774) is registered as a broker with NPM Securities, where he’s been employed since May 2022. Previously, Setaro was registered as a broker with Forge Securities from 2019 until 2022. Setaro has one disclosure [...]

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Francis Joseph Velten, Formerly of Ameriprise Financial Services, Named in FINRA Complaint Alleging Failure to Respond

By |2022-08-08T14:42:36-04:00July 26th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Ameriprise Financial Services broker Francis Joseph Velten was named in a complaint by FINRA after he failed to respond to FINRA’s requests for information. Francis Joseph Velten (CRD#: 2291911) was registered as a broker with Ameriprise Financial Services from January 2020 until April 2022. Previously, Velten was registered as a broker with Independent [...]

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Adam Thomas Marquardt, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Testimony

By |2022-08-08T14:34:48-04:00July 25th, 2022|Broker / Advisor Investigations|

INVESTORS: Former Cetera Advisors broker Adam Thomas Marquardt was barred by FINRA after he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into misconduct. Adam Thomas Marquardt (CRD: 5307192) was registered as a broker with Cetera Advisors from 2020 until 2022. Previously, Marquardt was registered as a broker with Wells [...]

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Chad Ryan Barancyk, Formerly of First Allied Securities, Suspended by FINRA Following Failure to Respond to Requests for Information

By |2022-07-26T14:30:51-04:00July 23rd, 2022|Broker / Advisor Investigations|

INVESTORS: Former First Allied Securities broker Chad Ryan Barancyk was suspended by FINRA after refusing to respond to FINRA’s requests for information. Chad Ryan Barancyk (CRD#: 4921433) was registered as a broker with First Allied Securities from 2014 until 2021. Previously, Barancyk was registered as a broker with SII Investments from 2005 until 2014. Barancyk [...]

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Vincent Anthony Virga, Formerly of Madison Avenue Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable Alternative Investments

By |2022-07-26T14:26:26-04:00July 22nd, 2022|Broker / Advisor Investigations|

INVESTORS: Former Madison Avenue Securities broker Vincent Anthony Virga was named in a customer dispute alleging recommendation of unsuitable alternative investments. Vincent Anthony Virga (CRD#: 5070668) was registered as a broker with Madison Avenue Securities from 2009 until 2021. Previously, Virga was registered as a broker with Prime Capital Services from 2006 until 2009. Virga [...]

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Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation

By |2022-07-26T14:23:02-04:00July 21st, 2022|Broker / Advisor Investigations|

INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael Rosenberg (CRD#: 2754292) is registered as a broker with UBS Financial Services, where he’s been employed since 2015. Previously, Rosenberg was registered as a broker and investment adviser with Credit [...]

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