Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Alexandre Maltez (CRD# 6506116) of Winter Springs, Florida for potential investment-related misconduct.

Financial Advisor’s Career History

According to his FINRA registration and employment history, Alexandre Maltez has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since October 2022 and previously was registered with firms including Newbridge Financial Services Group/Newbridge Securities (2019–2022), CoreCap (2018–2019), USA Financial Securities (2017–2018), and United Planners’ Financial Services (2015–2016).

Our firm is investigating Edward Jones financial advisor Andrew Steven Hall (CRD# 6133048) of Cheraw, South Carolina for potential investment-related misconduct.

Financial Advisor’s Career History

According to his FINRA BrokerCheck report, Andrew Steven Hall has been registered in the securities industry since at least 2012 and is currently registered with Edward Jones. His disclosed registration/employment history includes:

Edward Jones (Financial Advisor) — 11/2016 to Present (branch: Cheraw, SC)

Centaurus Financial, Inc. (Registered Representative) — 05/2015 to 11/2016

J.P. Turner & Company, L.L.C. — 12/2012 to 06/2015

Our firm is investigating Wells Fargo Clearing Services, LLC financial advisor Simon Ga Jeung Leung (CRD# 5795988) of Woodstock, Georgia for potential investment-related misconduct.

Financial Advisor’s Career History

According to his FINRA BrokerCheck report, Simon Ga Jeung Leung’s securities-industry registration history includes:

Chase Investment Services Corp. (07/2010 – 10/2010) (Alpharetta, GA)

Chase Investment Services Corp. (05/2012 – 10/2012) (Alpharetta, GA)

J.P. Morgan Securities LLC (10/2012 – 11/2014) (Woodstock, GA)

Wells Fargo Advisors, LLC (11/2014 – 11/2016) (Woodstock, GA)

Wells Fargo Clearing Services, LLC (11/2016 – Present) (Woodstock, GA)

His reported employment history also reflects Wells Fargo Bank, N.A. (11/2014 – Present) (Woodstock, GA).

Our firm is investigating Arkadios Capital financial advisor Jason Douglas Stone (CRD# 5455271) of Orange, California for potential investment-related misconduct.

Financial Advisor’s Career History

According to BrokerCheck, Jason Douglas Stone’s registration and employment history includes:

Ameriprise Financial Services, Inc. (B/IA) — Long Beach, CA (01/2008–08/2013)

J.W. Cole Financial, Inc. (B) — Orange, CA (08/2013–12/2014)

J. W. Cole Advisors, Inc. (IA) — Orange, CA (01/2014–12/2014)

Crown Capital Securities, L.P. (B/IA) — Orange, CA (01/2015–03/2024; IA listed 09/2015–03/2024)

Stone Hatcher Financial (IA) — Anaheim, CA (04/2018–06/2019)

Arkadios Capital (B) — Registered Representative (03/2024–Present)

BrokerCheck also reflects investment-related “other business” activity tied

Our firm is investigating Kalos Capital, Inc. registered representative and investment adviser representative Thomas Michael Rauchegger (CRD# 5156496) of Alpharetta, Georgia for potential investment-related misconduct.

Financial Advisor’s Career History

FINRA BrokerCheck reflects that Rauchegger is not currently registered, and that he was previously registered with Kalos Capital, Inc. from January 2012 through October 2022 (branch listed as Maitland, Florida).

Within the last 10 years of employment history reported on Form U4, BrokerCheck lists:

Kalos Management, Inc. — Investment Adviser Representative (reported as 02/2013–Present) in Alpharetta, GA

Kalos Capital, Inc. — Registered Representative (reported as 12/2011–Present) in Alpharetta, GA

Cramer & Rauchegger, Inc. — Vice President (reported as 05/2006–Present) in Maitland, FL

BrokerCheck also lists outside business activities including Cramer & Rauchegger (life i

Our firm is investigating former Oppenheimer & Co., Inc. financial advisor Zachary Taylor (CRD# 6074776) of Newport Beach, California, for potential investment-related misconduct involving options trading and customer disputes.
Financial Advisor’s Career History
Zachary E. Taylor began his securities industry career in 2012. According to FINRA records, he was previously registered with Wells Fargo Advisors, LLC (2012), Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013–2020), Oppenheimer & Co., Inc. (2020–2023), and Saxony Securities, Inc. (2023). He most recently worked in the Newport Beach, California area before his discharge from Oppenheimer & Co., Inc. in May 2023.

Our firm is investigating Oppenheimer & Co. Inc. financial advisor and broker Mark Raymond Reynolds (CRD# 1639111) of Chicago, Illinois for potential investment-related misconduct.
Financial Advisor’s Career History
Based on his FINRA BrokerCheck report, Mark R. Reynolds has worked in the securities industry with the following firms:
Oppenheimer & Co. Inc. (Financial Consultant) — 08/2005 to Present (Chicago, IL; also reported branch location in Barrington, IL).
Morgan Stanley / Morgan Stanley DW Inc. — 08/2003 to 09/2005.
Banc One Securities Corporation — 04/1999 to 05/2004 (registrations reported in Chicago, IL and Evanston, IL).

Our firm is investigating former Raymond James Financial Services financial advisor Mario Payne (CRD# 5445757) of Jacksonville, Florida for potential investment-related misconduct.
Financial Advisor’s Career History
FINRA BrokerCheck reflects that Mario Payne is not currently registered as a broker, but was previously registered with Edward Jones in Jacksonville, Florida from December 2007 to May 2013 and with Raymond James Financial Services, Inc. in Jacksonville, Florida from May 2013 to February 2019.
His most recently reported Form U4 employment history lists Planning Solutions International LLC dba TOAMS Financial (Jacksonville, Florida) from February 2019 to present as Owner/Chief Compliance Officer, and also reflects roles at Raymond James Financial Services, Inc. (Financial Advisor) and Raymond James Financial Services Advisors Inc. (Investment Adviser Representative) from May 2013 to February 2019.

Our firm is investigating RBC Capital Markets, LLC financial advisor Paul Richard Meyer (CRD# 3062534) of Minnetonka, Minnesota for potential investment-related misconduct.
Financial Advisor’s Career History
According to his BrokerCheck report, Paul Richard Meyer has been registered with RBC Capital Markets, LLC since October 11, 2017. His reported employment/registration history includes:
RBC Capital Markets, LLC — Financial Advisor (10/2017–Present) (Minnetonka, MN)
City National Bank (affiliate role) — Employee of an affiliate (06/2018–12/2023) (Minnetonka, MN)
Morgan Stanley Private Bank, National Association — Financial Advisor (01/2015–10/2017) (New York, NY)
Morgan Stanley Smith Barney — Mass Transfer (06/2009–10/2017) (Minneapolis, MN)
Morgan Stanley & Co. Incorporated — Financial Advisor (08/2008–10/2017) (Minneapolis, MN)
RBC Capital Markets Corporation — Registered (06/1998–08/2008) and Investment Adviser registration (04/2005–08/2008) (Minneapolis, MN)

Aaron Wagner (CRD# 5663584) is a former financial advisor who was registered with Hornor, Townsend & Kent, LLC and previously associated with AXA Advisors, LLC and Pruco Securities, LLC, with reported office locations including Boise, Idaho and Bellevue, Washington.
Financial Advisor’s Career History
Aaron Wagner entered the securities industry in or around 2009. According to FINRA records, he was registered with AXA Advisors, LLC from August 2009 through February 2013. He later became registered with Pruco Securities, LLC from February 2013 until October 2014. Wagner then joined Hornor, Townsend & Kent, LLC, where he was registered from March 2015 through July 2020. He is not currently registered with any FINRA member firm.