One or more investors possibly experienced losses due to securities broker Jordan Paul McLendon [CRD: 6410265, St. Petersburg, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLendon worked for several brokerage firms, including Raymond James Associates Inc. from October 6, 2023 to July 11, 2024; UBS Financial Services Inc. from December […]

FINRA barred securities broker Szczepan Kosmaczewski (also known as Steven Kostis) [CRD: 7192377, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Kosmaczewski worked for PHX Financial Inc. from November 19, 2024 to February 10, 2025; Craft Capital Management LLC from March 23, 2022 to November 20, 2023; Joseph […]

FINRA barred securities broker Glenn Ngo [CRD: 7200876, San Diego, California], according to public information on FINRA BrokerCheck. Notably, Ngo worked for Park Avenue Securities LLC from March 22, 2023 to March 4, 2025, and Northwestern Mutual Investment Services LLC from February 11, 2022 to March 21, 2023. Read on to learn more about the […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

FINRA barred securities broker Johnathon Sawaged [CRD: 7061837, Poughkeepsie, New York], according to publicly available information on FINRA BrokerCheck. Notably, Johnathon Sawaged worked for B. Riley Wealth Management from July 22, 2022 to September 4, 2024, and prior to that, at National Securities Corporation from September 18, 2019 to July 22, 2022. Read the following […]

FINRA barred securities broker Timothy Fleming Jefferson (also known as Tim Jefferson) [CRD: 5004750, Brentwood, Tennessee], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jefferson worked for Aegis Capital Corp. from February 14, 2024 to May 16, 2024, and for Ameriprise Financial Services LLC from August 16, 2013 […]

FINRA barred securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida] and investors complained about him, based on public information reported on FINRA BrokerCheck. Magruder worked for Raymond James Associates Inc. from July 1, 2021 to August 2, 2024, and previously for Merrill Lynch from August 21, 2015 to July 2, 2021. See the following […]

FINRA barred securities broker Robert Joseph Ornelas [CRD: 5973762, Los Angeles, California], based on disclosures on BrokerCheck. Robert Ornelas worked for Northwestern Mutual Investment Services LLC from July 31, 2012, to February 6, 2023. Read on to find out more the regulatory disclosure involving this broker and what it could mean for investors. FINRA Sanctioned […]

FINRA barred securities broker Edgar Sarkis Shanoyan [CRD: 6355599, Rutherford, New Jersey] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Shanoyan worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 27, 2016, to October 19, 2023. Keep reading to learn more about the […]