Chuck A. Roberts Disbarred from Securities Industry After Mounting Customer Complaints July 25, 2025 Former Stifel, Nicolaus & Company investment advisor Chuck A. Roberts (CRD#: 2064602) has been officially barred from the securities industry, following a string of customer complaints and regulatory scrutiny over his sales practices—particularly regarding structured notes. Regulatory and Bar Status Roberts entered into a Letter of Acceptance, Waiver, and Consent with FINRA in July 2025. He initially […] Read More
If Ray Weldon Was Your Advisor, You Might Have a Serious Problem July 8, 2025 If Charles Raymond Weldon — known professionally as Ray Weldon — was or is your financial advisor, take a closer look at your investment portfolio. Levin Papantonio, a nationally recognized law firm, is investigating potential claims on behalf of investors who say they were harmed by Weldon’s advice while he was registered with Cetera Advisor […] Read More
Gregory Whelan Investment Advisor Clients May Be at Financial Risk June 10, 2025 Investors who once relied on Merrill Lynch’s Greg Whelan (CRD#: 5247677) as their financial advisor may have reason for concern. Recent developments surrounding Whelan’s tenure at Merrill Lynch—including allegations of “selling away,” fraudulent investment schemes, and serious investor complaints—suggest that clients who entrusted him with their financial security could be at risk. Who Is Greg Whelan? […] Read More
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