FINRA fined securities broker Maxim Patvonimic Tulupnikoff (also known as Maxim Dmitrievi Tulupnikov and as Maxim Tulupnikov) [CRD: 6188857, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Tulupnikoff joined David Lerner Associates Inc. on June 24, 2013, and Spirit of America Management Corp on March 29, 2018. Below, you can find out […]

FINRA fined securities broker Donald Joe Everhart (also known as Don Everhart and Donny Everhart) [CRD: 2150508, Dixon, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Everhart worked for Emerson Equity LLC from January 26, 2023 to August 8, 2024, and for Whitehall-Parker Securities Inc. from January 14, 2010 to […]

Investors potentially experienced sales practice violations because of securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to publicly available information reported on FINRA BrokerCheck. Craig Thistlethwaite worked for Morgan Stanley from June 1, 2009 to February 16, 2023. Read below to learn more about the regulatory action taken against Thistlethwaite. FINRA Fined Craig […]

Investors reportedly may have incurred losses because of securities broker Paul Wayne Edwards [CRD: 5967107, Palm Bay, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Paul Edwards worked for NYLIFE Securities LLC from August 20, 2012, to June 2, 2023. Keep reading to learn more about the client complaints involving this broker. FINRA Sanctioned Edwards […]

FINRA fined securities broker James Craig Etter [CRD: 5576744, Austin, Texas], according to disclosures on FINRA BrokerCheck. It appears that Etter worked for NatAlliance Securities LLC from January 6, 2012, to April 27, 2023. Keep reading to learn more about Etter’s disclosures. FINRA Sanctioned Etter For Undisclosed Private Securities Transactions And Outside Business Activities Evidently, […]

Investors might have sustained losses because of securities broker Ivanhoe Vincent Ffriend (also known as Ivanhoe Vincent Friend, Ivan Ffriend, and Ivan Friend) [CRD: 1013083, New Rochelle, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ivanhoe Ffriend worked for multiple securities firms over the years, including J.P. Turner Company LLC and North Ridge Securities […]

FINRA sanctioned securities broker Blaine Robert Stahlman [CRD: 1189213, Castle Rock, Colorado], according to disclosures on FINRA BrokerCheck. Apparently, Blaine Stahlman worked for Professional Broker-Dealer Financial Planning Inc. from July 6, 1989, to July 8, 2024, and for American Global Wealth Management Inc. beginning May 8, 2023. He is currently registered with First Asset Financial […]

Investors might have received losses because of securities broker William Lee Campbell [CRD: 1180015, White Plains, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Campbell worked for David Lerner Associates Inc. from October 14, 2002, to May 18, 2023. Keep reading to learn more about the securities broker’s disclosures. FINRA Sanctioned […]

FINRA sanctioned securities broker John Alfred Dow Jr. [CRD: 2524415, Stillwater, Minnesota], according to disclosures on FINRA BrokerCheck. According to the regulator, John Dow worked for Morgan Stanley from August 1, 2012, to May 21, 2024. Here’s more about the disclosures concerning Dow. FINRA Barred Dow For Failure to Produce Documents Particularly, on January 6, […]