Cynthia Komarek Barred, Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) has new important information to share regarding securities broker Cynthia Komarek (CRD#: 1188714, Barrington, Illinois). It appears that this securities broker, who worked for firms Wells Fargo Clearing Services (2008 to 2017) and Sagepoint Financial (2017 to 2020), is now barred indefinitely […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Broker Dustin Blount Barred By FINRA And Involved In An MML Investor's Dispute Soreide Law Group has important information to share with you regarding securities broker Dustin Michael Blount (CRD#: 5267680, Vicksburg, Mississippi). Specifically, it appears on BrokerCheck that in addition to him being discharged for alleged misconduct, the broker is the subject of criminal […]

FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

Investors File Suitability Disputes About AISG Securities Broker Thomas Logue According to BrokerCheck, the Financial Industry Regulatory Authority (“FINRA”) database on securities brokers, there are important things you should know concerning Thomas Joseph Logue (CRD#: 1700554, Hinsdale, Illinois). The securities broker, who worked for American Independent Securities Group LLC (“AISG”) from 2014 to 2017, is […]

FINRA Bars Securities Broker David Martirosian Following Investigation The Financial Industry Regulatory Authority (“FINRA”) disclosed that it barred (expelled) David Martin Martirosian (CRD#: 5261144, New York, New York). Namely, the securities broker, who worked for Joseph Stone Capital from July 2016 to April 2021, and who worked for firms who FINRA expelled, agreed to a […]