Cadaret Grant Broker Steven Pagartanis Guilty Of Fraud Conspiracy Former Cadaret, Grant & Co., Inc. registered representative, Steven Pagartanis (CRD#: 1958879, Setauket, New York), has pleaded guilty to conspiracy to commit wire and mail fraud in connection with a Ponzi scheme that Pagartanis operated between 2000 and 2018. Pagartanis now faces up to 20 years […]

Securities Regulator Finds Justin Amaral Churned Investor Accounts Justin Amaral (CRD#: 4440980, Boston, Massachusetts) is a prior Morgan Stanley securities broker (June 1, 2009 to May 7, 2014) that was referenced in a State of New Hampshire Department of State Bureau of Securities Regulation Consent Order #149777 in which Morgan Stanley agreed to pay three […]

Wells Fargo Broker David Jay Homan Guilty Of Misappropriation David Jay Homan (CRD#: 1516973, Bay City, Michigan) is a prior financial advisor of Wells Fargo Advisors, LLC who entered a guilty plea to felony embezzlement. Homan pleaded guilty on November 21, 2018 in a Bay County, Michigan Court, and now faces 15 years behind bars. […]

FINRA Bars TCFG Broker Charles Acheson Laverty From Securities Industry Charles Acheson Laverty (CRD#: 4875386, Newport Beach, California) is a former TCFG Wealth Management LLC securities representative who is now barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) pursuant to Hearing Panel Decision #2016050205901 dated November 13, 2018.  The Hearing Panel […]

Financial West Group Broker Sean J. Waters Barred For Churning Sean J. Waters (CRD#: 4414180, Los Angeles, California) is a prior securities representative of Financial West Group who just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”). Pursuant to Letter of Acceptance, Waiver and Consent #2017054755203 dated November 28, 2018, […]

Quest Capital Strategies’ Frank Dietrich Barred For Selling Away Frank Dietrich (CRD#: 2506091, Lake Forest, California), who is a former Quest Capital Strategies securities broker, just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for engaging in private securities transactions, according to a Letter of Acceptance, Waiver and Consent #2018057197801 […]

Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud James Polese (CRD#: 2636427, Boston, Massachusetts), who is a prior Morgan Stanley investment advisor, is going to prison for committing fraud. Polese pleaded guilty to eight counts of felony bank fraud, one count of felony conspiracy, one count of investment adviser fraud, and one count of […]

Calton & Associates Broker Chris Raymond Kubiak Barred by FINRA Chris Raymond Kubiak (CRD#: 1527367, Brookfield, Wisconsin) has been registered with Freedom Investors Corp. (February 17, 1989 to July 17, 2017), American Global Wealth Management, Inc. (July 14, 2017 to August 11, 2017) and most recently, Calton & Associates, Inc. (July 17, 2017 to October […]

Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal Alliance Associates, Inc. investment adviser representative, pleaded guilty to a United States Attorney for the District of Massachusetts’ criminal charges including investment adviser fraud, wire fraud and identify theft. Kitts admitted to her role in defrauding […]