Investors apparently complained about securities broker Joel Dale Farnsworth [CRD: 1980052, Henderson, Nevada], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Farnsworth worked for Wedbush Securities Inc. from January 2, 2009, to March 11, 2026. See below to find out more about the disclosures involving this securities broker. Wedbush Securities […]

Investors may have suffered financial harm by securities broker Jimmy Leong (also known as James Leong and Jim Leong) [CRD: 1486689, Freehold, New Jersey], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leong worked for J.P. Morgan Securities LLC from October 1, 2012, to February 4, 2025, and Equitable Advisors LLC […]

Investors potentially incurred losses because of securities broker Timothy Ryan Calvert [CRD: 3241077, Spartanburg, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Calvert has been associated with First Citizens Asset Management Inc. since November 1, 2006, First Citizens Investor Services Inc. as a financial advisor since May 15, 2017, and First […]

Investors apparently complained about securities broker Stephen Pavey Meskan [CRD: 2001506, Chicago, Illinois], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Meskan has been registered with Cabot Lodge Securities LLC since August 12, 2019, and CL Wealth Management LLC since August 29, 2019. Previously, he was registered with Purshe Kaplan […]

FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

FINRA barred securities broker Norman Lynn Hill [CRD: 1535969, Wellesley, Massachusetts], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Ameriprise Financial Services LLC from March 8, 2024, to October 13, 2025, and previously worked for Citizens Securities Inc. from January 25, 2007, to January 29, 2024. See below […]

FINRA barred securities broker Pablo Leonel Gherardi [CRD: 4602689, Miami, Florida], and one or more investors complained about him, given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gherardi worked for Jefferies LLC from May 5, 2017, to December 6, 2024. Investors are encouraged to continue reading to discover more about the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: MARK JEFFREY GRANT, B. RILEY WEALTH MANAGEMENT, and COLLIERS SECURITIES, LLC. (Respondents) The Claimant is in her seventies, retired, and living in Florida.  She made the following claims against the Respondents, MARK JEFFREY GRANT (GRANT, MARK J GRANT), B. RILEY […]

FINRA fined securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) [CRD: 4730054, McDonough, Georgia], and investors complained about her, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hilliard worked for Stifel Nicolaus from January 13, 2020, through November 24, 2023, Edward Jones from January 13, 2004, through December […]