Peter Mallouk (CRD #4508063) , located in Leawood, Kansas, is an experienced investment advisor and former broker. He has held leadership roles, including serving as the President of Creative Planning, LLC, a leading investment advisory firm. His career spans several decades, during which he passed notable examinations such as the Series 65 and Series 63, demonstrating expertise in state securities laws and investment advisory services.
Timothy Hatton (CRD #1844529) , located in Phoenix, Arizona, has over two decades of experience in the investment advisory field. He has worked in various capacities, including as the President of Hatton Consulting, Inc., and currently serves as an Investment Adviser Representative at Creative Planning, LLC.
Robert Taglich (CRD #1539988) , located in Cold Spring Harbor, New York, is an experienced broker and principal with Taglich Brothers, Inc., where he has been registered since February 1992. Mr. Taglich has also worked with other firms, including Weatherly Securities Corporation and Philips, Appel & Walden, Inc., with his career beginning in 1986. He has completed one principal/supervisory exam, three general industry/product exams, and two multi-state securities law exams, equipping him with extensive qualifications. Currently, Mr. Taglich is licensed across all 51 U.S. states and territories, holding active registrations with FINRA as a General Securities Principal and Investment Banking Principal.
Wendy Stocker (CRD #2127664) who was formerly registered as a broker with Morgan Stanley and located in Indianapolis, Indiana, is a subject of one of our many securities industry sales practice abuse investigations.
• Wendy Stocker has over 25 years of experience in the securities industry, having worked for prominent firms such as Morgan Stanley, Merrill Lynch, and UBS Financial Services. Before Morgan Stanley, she held long-term positions at Merrill Lynch (2010–2018) and UBS Financial Services (1996–2010). These experiences highlight her extensive history in financial services
• Ms. Stocker passed two general industry exams and two multi-state securities law exams, including Series 7 and Series 66. Stocker’s career includes roles as a financial advisor and client associate.
• She was terminated by Morgan Stanley on September 1, 2024, due to policy violations involving the handling of internal and client information, allegedly altering and reusing internal billing forms and transmitting firm information through personal email.
Mary Beth Spuhler who was formerly registered as a broker with Osaic Wealth, Inc. and located in Camp Hill, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.
Mary Beth Fisher Spuhler has over 45 years of experience in the financial services industry. She has worked with five firms, including OSAIC Wealth, Inc. (2024), Securities America, Inc. (2017–2024), and MML Investors Services, LLC (1986–2012).
Spuhler has passed three general industry exams and one multi-state securities law exam. Her professional designation includes being a Chartered Financial Consultant.
Her most recent role at OSAIC Wealth, Inc. ended in termination on September 6, 2024, due to engaging in personal transactions with clients. Prior to this, she held a long-standing position at MML Investors Services, LLC, from 1986 to 2012, before being discharged on July 12, 2012, for policy violations involving client account management.
Lucas Rogers (CRD #6840075) who was formerly registered as a broker with J.P. Morgan Securities LLC and located in Dallas, Texas, is a subject of one of our many securities industry sales practice abuse investigations.
• Lucas Rogers has been in the securities industry since 2017, primarily working with J.P. Morgan Securities LLC in Dallas, Texas, where he held roles as a registered representative and associate. Rogers’s employment with J.P. Morgan Securities spanned seven years, ending on September 30, 2024.
• He has passed one principal/supervisory exam and two general industry/product exams, demonstrating foundational knowledge in the securities field.
• Rogers was terminated by JPMorgan Chase Bank, N.A. on September 30, 2024, after allegations surfaced that he had submitted fraudulent claims on his corporate credit card for personal transactions. He is currently not registered with any securities firm.
Torian Mitchell (CRD #6320029) , located in New York, New York, is a former registered broker at Pruco Securities, LLC from 2018-2021. He is not currently registered as a broker but previously held roles with various firms in New York. In addition to his brokerage experience, he served as Chief Operating Officer of AYCE, Inc., an educational services company, since 2018. He passed three general industry/product exams and two multi-state securities law exams. His professional experience includes positions at Pruco Securities, LLC, AXA Advisors, LLC, and J.H. Darbie & Co., Inc.
James Hill, III (CRD #1926479) who was formerly registered as a broker with Morgan Stanley and located in Richmond, Virginia, is a subject of one of our many securities industry sales practice abuse investigations.
James C. Hill III has extensive experience in the securities industry, working with six firms since starting in 1990. His employment history reflects positions at reputable firms, including Morgan Stanley, BB&T Securities, and Scott & Stringfellow, LLC. Hill’s career trajectory demonstrates steady positions in Richmond, VA, primarily within financial advisory roles.
He passed two general industry exams and two multi-state securities law exams, though he has not taken any principal exams. His recent roles include serving as a financial advisor at Morgan Stanley from January 2017 until his termination in September 2024.
Hill was terminated by Morgan Stanley in September 2024 due to alleged irregularities concerning fund disbursement from a family member’s brokerage account. This allegation, related to accounting, may be important to consider if assessing the broker’s historical conduct.
Chris Fraijo (CRD #6981977) who was formerly registered as a broker with Navy Federal Investment Services, LLC and located in San Bernardino, California, is a subject of one of our many securities industry sales practice abuse investigations.
Chris Fraijo has held positions in multiple financial services firms, having worked for six firms since 2018. His employment history also includes brief stints with Allstate Financial Services, LLC, Ameriprise Financial Services, LLC, Farmers Financial Solutions, LLC, and Equitable Advisors, LLC. He is currently not registered.
Fraijo has passed two general industry/product exams and two multi-state securities law exams, which allowed him to serve clients across different states.
Chris Fraijo was recently employed with Navy Federal Investment Services, LLC, from February 2023 until his termination in September 2024. The termination was due to multiple policy violations, including inadequate client record management, missed meetings, and delays in responding to compliance and management.
Travis Bezella (CRD #4896369) , located in Plymouth, Minnesota, is a financial professional with a history of working in investment advising and brokerage Bezella previously held positions with firms such as Securities America, Inc., and most recently Creative Planning. His professional experience reflects over a decade in the industry, with certifications including the Certified Financial Planner (CFP) designation.