FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

FINRA barred securities broker Michael Patrick Raineri [CRD: 4817558, Seattle, Washington], and an investor complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Raineri worked for Securities America Inc. from November 6, 2020, to April 18, 2023. Read on to find out more about the disclosures involving Raineri. FINRA […]

FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]

FINRA barred securities broker John Michael Palma [CRD: 6848651, New York, New York], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Palma worked for Spartan Capital Securities LLC from September 15, 2022, to March 17, 2025, SW Financial from December 10, 2019, to September 14, 2022, and Worden […]

FINRA barred securities broker Jason Mark Kurtz [CRD: 4958219, Denver, Colorado], and investors complained about him, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurtz worked for U.S. Bancorp Investments Inc. from December 2, 2019, to November 4, 2022, Edward Jones from July 25, 2018, to December 3, 2019, and […]

FINRA sanctioned securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], and investors complained about her, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Godfrey worked for Wells Fargo Clearing Services LLC from February 14, 2014, to October 14, 2021, and […]

FINRA barred securities broker Mario L. Martinez [CRD: 6144561, Fort Lauderdale, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez worked for Merrill Lynch from October 23, 2015, to February 5, 2025. Read below to learn more about the disclosures involving Martinez. FINRA Sanctioned Martinez For Failure To Provide Documents […]

FINRA barred securities broker Carlton Fletcher [CRD: 2455798, New York, New York], based on disclosures found on FINRA BrokerCheck. Evidently, Fletcher worked for Dinosaur Financial Group, L.L.C. from January 4, 2010, to April 11, 2024. Keep reading to discover more about Fletcher’s disclosures. FINRA Sanctioned Fletcher For Refusing To Provide Documents On January 24, 2025, […]

Investors reportedly complained about securities broker Adam Marquardt [CRD: 5307192, Rochester, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Marquardt worked for Cetera Advisors LLC from August 7, 2020, to July 21, 2022, and Wells Fargo Advisors Financial Network LLC from April 23, 2010, to August 21, 2020. Keep reading to learn more […]