Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ryan T. Murphy (CRD: 4332032, Savannah, Georgia). Murphy was registered with Truist Investment Services Inc. from February 2006 to May 2024. Recent regulatory actions have resulted in a permanent bar from the securities industry following allegations related to misconduct and failure to comply with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John Christoforidis (CRD: 2841315, Garden City, New York). Christoforidis previously worked for multiple brokerage firms, including Spartan Capital Securities LLC from 2016 to 2024. Recent regulatory actions disclose that FINRA has barred Christoforidis from the securities industry following his refusal to provide on-the-record testimony […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gary Francis Harpe [CRD: 2983634, Farmington Hills, Michigan]. Harpe worked for PFS Investments Inc. from February 1998 to January 2023 before being barred by FINRA. Recent disclosures raise concerns regarding Harpe’s professional conduct, leading to regulatory action and criminal allegations. Regulatory Actions and Sanctions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ahmad Mohamed Maklou (also known as Ed Maklouf) [CRD: 6092943, Staten Island, New York]. Ahmad Maklouf worked for Spartan Capital Securities, LLC (August 2017 to December 2022), Worden Capital Management LLC (November 2016 to September 2017), and Legend Securities, Inc. (June 2014 to November […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ceondre LaQuan Colvin [CRD: 7329753, Pittsburgh, Pennsylvania]. Ceondre Colvin worked for NYLIFE Securities LLC from September 2022 to June 2024. Prior to this, he held positions at non-securities-related employers and managed his own businesses. Recent disclosures raise concerns about Colvin’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christopher Todd Bailey (also known as Chris Bailey) [CRD#: 6907048, Cumming, Georgia]. Bailey worked for NYLIFE Securities LLC from May 2021 to January 2022 and later joined MML Investors Services, LLC from November 2022 to March 2024. Recent disclosures highlight concerns about Bailey’s conduct, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jae Hun Kim (also known as Jae Kim) [CRD: 4620963, Cortlandt Manor, New York]. Jae Kim worked for E1 Asset Management, Inc. from February 2003 to March 2024, a tenure spanning 21 years. Recent disclosures reveal concerns about Kim’s conduct as both financial advisor […]