Our firm is investigating D. Boral Capital stockbroker Brendan Bryan Behan (CRD# 5681974) of Woodbury, New York for potential investment-related misconduct.

Stockbroker Career History

Brendan Bryan Behan is currently registered with D. Boral Capital in Woodbury, New York, where BrokerCheck shows he has been registered since March 4, 2024. His prior registrations listed in BrokerCheck include Aegis Capital Corp. in Melville, New York from July 2023 through March 2024 as an investment adviser representative, Aegis Capital Corp. in Melville, New York from September 2012 through March 2024 as a broker, Max International Broker/Dealer Corp. in New York, New York from June 2009 through January 2013, and NSM Securities, Inc. in West Palm Beach, Florida from July 2012 through September 2012.

Brendan Bryan Behan Fraud Allegations and Investor Complaints Explained

FINRA BrokerCheck reflects two final customer dispute disclosures for Mr. Behan, both reported as settled. The reported allegations include unsuitable transactions, unauthorized trading, and churning, with both matters tied to his time at Aegis Capital Corp. BrokerCheck also notes that customer disputes may contain allegations that are contested, unresolved, or settled without any admission or finding of wrongdoing.

Our firm is investigating LPL Financial broker and investment adviser James Patrick Chiaro (CRD# 4866429) of Dunmore, Pennsylvania for potential investment-related misconduct.

James Patrick Chiaro’s Career History

James Patrick Chiaro is currently registered with LPL Financial LLC in Dunmore, Pennsylvania, where he has been registered as both a broker and an investment adviser since August 18, 2017. BrokerCheck shows prior registrations with Citizens Securities, Inc. from 2007 to 2017 and PNC Investments from 2005 to 2007. The report also reflects employment history entries including LPL Financial, LLC and CCO Investment Services Corp.

James Patrick Chiaro Fra

Our firm is investigating Frisco, Texas financial advisor and stock broker Mark Perry Kissinger (CRD# 4546631), who is currently registered with NYLIFE Securities LLC and Eagle Strategies LLC out of 2600 Network Blvd., Suite 130, Frisco, Texas, for potential investment-related misconduct.

Financial Advisor’s Career History

According to FINRA BrokerCheck, Kissinger entered the securities industry in 2002 with A.G. Edwards & Sons, Inc. in McKinney, Texas, where he was registered from August 2002 through August 2007 as a broker and from September 2002 through August 2007 as an investment adviser representative. He was then registered with UBS Financial Services Inc. from August 2007 through November 2011 in Addison and McKinney, Texas, later with Allstate Financial Services, LLC in Frisco, Texas from April 2012 through November 2018, and has been registered with NYLIFE Securities LLC since November 27, 2018 and Eagle Strategies LLC since March 15, 2023. His recent employment history also lists Kissinger Financial Services LLC, New York Life Insurance Company, and Nylife Securities LLC in Frisco, Texas.

Our firm is investigating Emerson Equity LLC stockbroker James John Raia (CRD# 2397301) of Irvine, California for potential investment-related misconduct.

Stockbroker’s Career History

According to FINRA BrokerCheck, James John Raia has been registered in the securities industry since 1996. His current registration is with Emerson Equity LLC, where he has been registered since May 7, 2025. Before joining Emerson Equity LLC, Raia was registered with Moloney Securities Co., Inc. from February 2018 through June 2025, Summit Brokerage Services, Inc. from September 2015 through February 2018, J.P. Turner & Company, L.L.C. from December 2009 through September 2015, GunnAllen Financial, Inc. from February 2005 through December 2009, Greenpoint Securities LLC from January 2004 through December 2004, Essex National Securities, Inc. from October 1997 through January 2004, MetLife Securities Inc. from August 1997 through October 1997, Metropolitan Life Insurance Company from August 1997 through October 1997, Shamrock Financial Services from December 1996 through August 1997, and Continental Broker-Dealer Corp. from March 1997 through July 1997.

Our firm is investigating Sanders Morris LLC financial advisor and stockbroker Erick George Revelle Kuebler (CRD# 2319437) of Dallas, Texas for potential investment-related misconduct.

Financial Advisor’s Career History

Erick George Revelle Kuebler began his securities industry career with Edward D. Jones & Co., L.P. from February 1993 to September 1993. He was then registered with J.P. Morgan Securities LLC from October 1993 to November 2016 as a broker, and from February 2004 to November 2016 as an investment adviser representative. He is currently registered with Sanders Morris LLC in Dallas, Texas, where he has been registered as a broker since November 22, 2016 and as an investment adviser representative since December 12, 2016.

Our firm is investigating Reid & Rudiger LLC financial advisor Edward Joseph Rudiger Jr. (CRD# 2118724) of New York, New York for potential investment-related misconduct.

Financial Advisor’s Career History

According to FINRA BrokerCheck, Edward Joseph Rudiger Jr. is currently associated with Reid & Rudiger LLC and has been registered with that firm since September 16, 1999. BrokerCheck also shows prior registrations with Gruntal & Co. Incorporated from July 1992 through October 1994 and Nichols, Safina, Lerner & Co. Inc. from November 1994 through January 1998. In the employment history section, FINRA lists Reid & Rudiger LLC from March 1998 to the present, where Rudiger is identified as CEO and registered representative.

Our firm is investigating Reid & Rudiger LLC stock broker Clifford Ronald Reid (CRD# 1905920) of 55 Broad Street, 28th Floor, New York, New York 10004 for potential investment-related misconduct.

Clifford Ronald Reid’s Career History

According to the uploaded FINRA BrokerCheck report, Clifford Ronald Reid began his securities industry career with First Investors Corporation in Edison, New Jersey from September 1989 through December 1991, then moved to Gruntal & Co. Incorporated in New York, New York from December 1991 through November 1994, followed by Nichols, Safina, Lerner & Co. Inc. in New York, New York from November 1994 through January 1998. Since March 1999, he has been associated with Reid & Rudiger LLC in New York, where the report lists branch locations at 40 Wall Street, Suite 1708, New York, New York 10005, and 55 Broad Street, 28th Floor, New York, New York 10004.

Our firm is investigating Buckman, Buckman & Reid broker Richard Anthony Panno (CRD# 724727), who is currently registered through the firm’s North Palm Beach, Florida branch office, for potential investment-related misconduct.

Stockbroker Richard Anthony Panno’s Career History

FINRA BrokerCheck shows that Richard Anthony Panno is currently associated with Buckman, Buckman & Reid, Inc., where he has been registered since April 28, 2010. His prior registrations include VFinance Investments, Inc. (07/2007–01/2010), Brookstreet Securities Corporation (01/2006–07/2007), Avalon Research Group, Inc. (08/2005–09/2005 and 04/2000–01/2003), Sterling Financial Investment Group / Sterling Financial Investment Group, Inc. (06/1999–03/2000 and 01/2003–08/2005), Financial Independence Systems, Inc. (04/1999–06/1999), North American Institutional Brokers (12/1997–05/1998), AIBC Investment Services Corporation (08/1997–11/1997), Nichols, Safina, Lerner & Co. Inc. (03/1996–03/1997), Deltec Asset Management Corporation (11/1990–01/1996), and Blinder, Robinson & Co., Inc. (02/1981–09/1981).

Our firm is investigating Bankers Life Securities, Inc. and Bankers Life Advisory Services financial advisor and broker Myles William Easter (CRD# 6024704) of West Des Moines, Iowa for potential investment-related misconduct.

Financial Advisor’s Career History

According to the uploaded FINRA BrokerCheck report, Easter was previously registered with New England Securities in West Des Moines, Iowa from September 2012 through October 2012. He later worked at Bankers Life as a Unit Field Trainer beginning in October 2012, became registered with Bankers Life Securities, Inc. on June 14, 2018, and became registered with Bankers Life Advisory Services, Inc. on January 9, 2024. His current reported office location is 160 South 68th Street, Suite 1205, West Des Moines, Iowa 50266.

Our firm is investigating Spartan Capital Securities, LLC stockbroker Travis Justin Lippmann (CRD# 5908823) of New York, New York for potential investment-related misconduct.

Stockbroker’s Career History

BrokerCheck reflects that Travis Justin Lippmann is currently registered with Spartan Capital Securities, LLC in New York, New York, where he has been registered since October 4, 2021. His prior registrations include Joseph Stone Capital, L.L.C. (April 2019 to November 2021), Primary Capital, LLC (September 2021 to October 2021), Newbridge Securities Corporation (March 2017 to April 2019), Maxim Group LLC (September 2016 to April 2017), Dawson James Securities, Inc. (July 2014 to September 2016), Coastal Equities, Inc. (April 2014 to August 2014), John Carris Investments LLC (September 2013 to May 2014), Global Arena Capital Corp (May 2012 to September 2013), and National Securities Corporation (May 2011 to May 2012).