JOHN COCHRAN MACCOLL (JOHN MACCOLL) CRD#: 839441, a former UBS financial advisor from Rochester Hills, Michigan, was barred by both FINRA and the SEC from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.  It is alleged McColl embezzled over $3.7 million. […]

J.P. Morgan Terminates Brokers Donovan Hunter, Lindsay Chapman J.P. Morgan Securities LLC (CRD#: 79, New York, New York) is a brokerage firm that the Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment adviser firm which the Securities and Exchange Commission (“SEC”) regulates. Notably, regulators have brought actions against J.P. Morgan Securities at least 331 […]

INVESTOR ALERT: Complaints Filed Against J.J.B. Hilliard Brokers John Gordinier, Stephen Provost J.J.B. Hilliard, W.L. Lyons, LLC (CRD#: 453, Louisville, Kentucky) is both a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities Exchange Commission (“SEC”) regulated investment advisory. Notably, the firm made 65 disclosures on FINRA BrokerCheck. Apparently, 34 of those disclosures concern […]

Investors File Disputes About Credit Suisse Brokers Lily Pirouzian, Michael Brewster Credit Suisse Securities (USA) LLC (CRD#: 816) is an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial industry Regulatory Authority (“FINRA”). Evidently, to date, the firm reports 272 instances in which securities regulators have […]

INVESTOR WARNING! Complaints Filed Against BBVA Securities Brokers Samuel Doria, Whitney Streck, Roberto Clynes BBVA Securities Inc. (CRD#: 27060, New York, New York) is a brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Since establishment, BBVA Securities Inc. reports eight instances in which securities regulators or the firm’s customers have alleged the firm […]

FLOYD EARL POWELL (FLOYD POWELL) CRD#: 2220029 was barred on February 13, 2019, by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm for allegedly selling nearly $3.5 million of promissory notes relating to the Woodbridge Group of Companies, a purported real estate investment fund […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: FSC SECURITIES CORPORATION (Respondent) The Claimants, a married couple from Texas, maintained a relationship with FSC Securities and their former financial advisor, Richard Gigliotti. Gigliotti is not named in the lawsuit. FSC Securities and Richard Gigliotti were allegedly made aware […]

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

SEC Charges Westport Capital Markets, Christopher McClure With Fraud Westport Capital Markets president and CEO, Christopher Edward McClure (CRD#: 2289844, Westport, Connecticut), face charges by United States Securities and Exchange Commission (the “SEC”) for defrauding advisory customers. Specifically, on December 11, 2017, SEC filed Case 3:17cv2064 in the United States District Court for the District […]