Securities Arbitration Lawyers Blog

Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of…

Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3/13/2020. He has been…

Michael Knittel (Michael Murray Knittel CRD# 3274235) is a currently registered broker and investment advisor whose last known employer is Fortune Financial Services, Inc. (CRD#:42150) of El Dorado Hills, CA. His previous employers include J.W. Cole Financial, Inc. (CRD#:124583) and Financial Advisers Of America, LLC (CRD#:142170), both of Folsom, CA,…

Joseph La Scala (Joseph Brian La Scala CRD# 3070261) is a registered broker and a previously registered investment advisor whose current employer is Aegis Capital Corp. (CRD#: 15007) of Melville, NY. His previous employers include Paulson Investment Company, Inc. (CRD#:5670), Gunnallen Financial, Inc. (CRD#:17609) of Hauppauge, NY, and Investec Ernst…

Anthony DiDonna (Anthony Vincent DiDonna CRD# 7283414) is a former registered broker last employed with Equitable Advisors, LLC (CRD#:6627) of Woodbury, NY. He began working in the industry with Equitable in 2020, and has no other employers of record. Equitable Advisors terminated DiDonna’s employment on 4/27/2021 for “unauthorized transactions and…

Ronald Molo (Ronald Terrence Molo CRD# 4371241) is a former registered broker and investment advisor whose last employer was Edward Jones (CRD#:250) of Joliet, IL. He began working for Edward Jones on 05/15/2001. The firm terminated him on 06/15/2021 and has no other employment in the industry. Following Molo’s termination,…

Kiromic BioPharma, Inc. (KRBP) is being investigated by Silver Law Group regarding possible violations of the federal securities laws. If you purchased shares of Kiromic BioPharma, Inc. (KRBP), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. Kiromic BioPharma is a “target discovery and gene-editing company” working on the…

FINRA recently sanctioned Aegis Capital (CRD# 15007) and issued a Letter of Acceptance, Waiver & Consent (AWC) following an investigation into the company’s business practices. This case originated from a customer arbitration complaint and a FINRA review of the firm. In its investigation, FINRA found that: From July 2014 through…

Johan Pereira (Johan Manuel Pereira CRD#: 6252881) is a former registered broker and investment advisor whose last known employment was with Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly, MA. His previous employers are Santander Securities LLC (CRD#:41791) of North Andover, MA, Citizens Securities, Inc. (CRD#:39550) of Wilmington, MA, and…

Jeremy Fortner (CRD# 4811478) is a former registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly Hills, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Sherman Oaks, CA, Chase Investment Services Corp. (CRD#:25574) of both Encino and Los…