FINRA Bars Benjamin Jerold Broker Juergen Weber Juergen Weber (CRD#: 2617323, New York, New York) has been a registered representative of Benjamin & Jerold Brokerage I, LLC between August 29, 2011 and July 25, 2018. FINRA barred Weber in all capacities pursuant to a Letter, Waiver and Consent (“AWC”) #2017056035501 executed on Sept. 5, 2018. […]

North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion Brian Frederick Gimelson (CRD#: 2262474, Princeton, New Jersey) was a registered representative of North Nassau Advisors LLC between June 12, 2014 and November 21, 2017. Gimelson recently pled guilty to two counts of attempting to defeat or evade tax in connection with the sale of […]

Harold Couglar Barred From Trading Harold F. Couglar (CRD #1193367, San Diego, California) who was a registered representative of Montage Securities, LLC, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) […]

FINRA Bars Broker Dealer Financial Corp’s Norman R. Sicard Jr. Norman R. Sicard Jr. (CRD #2269472, West Des Moines, Iowa), who was a registered representative of Broker Dealer Financial Services Corp. between May 26, 2011 and December 15, 2016, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]

FINRA Bars Pruco Representative For Converting Customer Funds Vaughn Lee Andrews-McKay (CRD #6491985, Shelton, Connecticut), who was a registered representative of Pruco Securities, LLC between August 25, 2015 and May 1, 2018, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms […]

FINRA Bars Brian Joseph Panfil Brian Joseph Panfil (CRD #4326407, Chicago, Illinois), who was a registered representative of Caldwell International Securities and Ridgeway & Conger, Inc., is now barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Default Decision issued by a […]

American Finance Trust, Inc. (AFIN) Losses? Soreide Law Group is investigating claims on behalf of investors who purchased American Finance Trust, Inc. (Nasdaq: AFIN) – a real estate investment trust (REIT) sponsored by AR Global with a purported emphasis on the management and acquisition of a service-focused tenant portfolio. AFIN REIT LOSSES? According to a […]

MITCHELL TOBY YANOW (CRD#: 214817), a former STIFEL, NICOLAUS & COMPANY, INC financial advisor from BOCA RATON, FL, was barred by FINRA on July 11, 2018, from acting as a broker or otherwise associating with a broker-dealer firm for allegedly stealing over $205, 000 from an 87 year-old client. Yanow was accused of writing checks […]

KIMBERLY PINE KITTS (CRD#: 2768200), a 51 year-old financial advisor from Massachusetts, was charged with defrauding multiple clients of  over $3 million from the client investment and retirement accounts, according to the SEC complaint filed in federal court. Kitts was formerly with Royal Alliance Associates of Palmer, Massachusetts, which does business as Marquis Consulting, which […]