IFS Broker Richard Grant Cody Pleads Guilty To Fraud Charges Richard Grant Cody (CRD#: 2794558, Spring Lake, New Jersey), a former IFS Securities registered representative, has pleaded guilty to the United States Attorney for the District of Massachusetts’ charges of Cody committing investment advisor fraud against retired investors in the state of Massachusetts, and making […]

Merrill Lynch Broker Christopher Lee Hibbard Indicted For Fraud Christopher Lee Hibbard (CRD#: 3176484, Louisville, Kentucky) is a prior registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) who was indicted in the United States District Court for the Western District of Kentucky on nine counts of wire fraud and one count […]

Next Financial Group Broker Douglas Simanski Guilty Of Fraud Soreide Law Group is investigating claims on behalf of investors who purchased investments from Douglas Simanski (CRD#: 2606998, Altoona, Pennsylvania), a former Next Financial Group, Inc. registered representative and investment advisor. The United States Attorney’s Office for the Western District of Pennsylvania announced on November 3, […]

Western International Securities Broker Dawn Bennett Guilty Of Fraud Dawn Bennett (CRD#: 1567051, Chevy Chase, Maryland) has been a registered representative of Western International Securities, Inc. between October 1, 2009 and December 1, 2015. On October 17, 2018, the United States Attorney’s Office for the District of Maryland announced that a federal jury found Bennett […]

FINRA Affirms Bar Of PKS’ Gopi Krishna Vungarala For Fraud Gopi Krishna Vungarala (CRD#: 4856193, Midland, Michigan) has been a registered representative of Purshe Kaplan Sterling Investments from December 13, 2007 to February 21, 2017. Financial Industry Regulatory Authority (“FINRA”) National Adjudicatory Council has issued a Decision #2014042291901 on October 2, 2018 which affirms FINRA’s […]

J.P. Morgan’s Benjamin Johnson Barred For Impeding FINRA Investigation Benjamin S. Johnson (CRD #5742748, Columbus, Ohio) was a registered representative of J.P. Morgan Securities LLC between October 1, 2012 and February 17, 2017. Johnson consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member […]

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”) […]