FINRA barred securities broker Eugene W. Antosh (also known as Geno Antosh) [CRD: 5450983, Portland, Connecticut], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eugene Antosh worked for Ameriprise Financial Services LLC from July 23, 2014, to September 16, 2025. See below to learn more about disclosures involving Eugene Antosh as reported on […]

FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]

FINRA barred securities broker Kevin Christopher McCarthy [CRD: 1702715, Hialeah, Florida], and investors complained about him, based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Madison Avenue Securities LLC from December 4, 2007, to January 30, 2026. Investors are encouraged to continue reading to find out more about McCarthy’s […]

FINRA barred securities broker Mohammed Anayet Karim [CRD: 4419277, Lakeland, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Karim worked for BB&T Securities LLC from September 24, 2018, to February 17, 2021, and Truist Investment Services Inc. from February 17, 2021, to August 8, 2025. See the following information to […]

FINRA aims to bar securities broker James Joseph Lukezic [CRD: 4284800, North Miami Beach, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lukezic has been associated with Old Slip Capital Management Inc. since January 25, 2019, and Old Slip Registered Investment Advisors LLC since February 27, 2019. Previously, he was associated with […]

FINRA barred securities broker Marcelo Javier Poliak [CRD: 2465622, Miami, Florida], and multiple investors complained about him, according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcelo Poliak worked for Jefferies LLC from May 5, 2017, to December 6, 2024. See the following information to find out more about disclosures involving Poliak […]

William Kershaw was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/15/2026.  William Kershaw was registered as a broker with NYLIFE SECURITIES LLC of Charlotte, North Carolina from 12/16/2024 - 07/17/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

FINRA sanctioned securities broker Jay Deron Zornes [CRD: 4124536, Ironton, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Zornes worked for Cambridge Investment Research Inc. from March 5, 2014, to May 19, 2025. See below to learn more about the disclosures involving Jay Zornes. FINRA Sanctioned Zornes For Noncompliance With Investigation […]

Investors apparently complained about securities broker Peter Thomas Lawrence [CRD: 2695687, Hauppauge, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lawrence worked for American Portfolios Financial Services Inc. from January 8, 2019, to November 21, 2023. Read on to learn more about disclosures involving Lawrence and allegations concerning […]