Ameriprise, Joseph Lawrence Peggs Face Customer Disputes Joseph Lawrence Peggs (CRD#: 1219721, Seminole, Florida) has been an Ameriprise Financial Services financial advisor since November 6, 2015. Peggs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile shows that at least six investors of Ameriprise Financial Services and NFP Securities, Inc. have disputes Peggs’ sales practices. Those customers […]

JERRY DAVIS RAINES (CRD#: 4578689), and   DONNA LYNN BARNARD (Also known as: DONNA LYNN BROOKS, DONNA LYNN STARGELL) CRD#: 5653949, two former brokers from HDVEST INVESTMENT SERVICES of Kilgore, Texas, were barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on September […]

SONYA D CAMARCO (Also known as:  SONIA D FATCHETT, SONYA D FATCHETT, SONYA D FATCHETT-CAMARCO) CRD#: 2427529, a 47 year-old Colorado Springs investment advisor, formerly with LPL Financial in Colorado Springs, was sentenced to 20 years in prison after pleading guilty to single counts of securities fraud and theft totaling more than $1.8 million. SONYA […]

BRUCE ARNOLD PLYER (BRUCE PLYER) CRD#: 1666324 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on October 29, 2018. Without admitting or denying the findings, BRUCE PLYER consented to the sanction and to the entry of findings that he failed to appear and provide FINRA with requested […]

ALEX GERARDO HERRERA CRD#: 3204779 was barred by FINRA on August 8, 2018, from acting as a broker or otherwise associating with a broker-dealer firm. Without admitting or denying the findings, Herrera consented to the sanction and to the entry of findings that he refused to provide information requested by FINRA in connection with its […]

Buckman, Buckman & Reid, Inc. VP Investigated For Failure To Supervise Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business […]

FINRA Investigates LPL Financial Broker Cheryl Ann Stallings Cheryl Ann Stallings (CRD#: 1162913, Amarillo, Texas) is a past registered representative of LPL Financial LLC. Financial Industry Regulatory Authority (“FINRA”) disclosed on Stallings’s BrokerCheck file that as of July 27, 2018, it is investigating Stallings for purportedly misappropriating LPL Financial customer funds, falsifying statements to LPL […]

Customers Sue Aegis Capital Corp For Unreasonable Investment Advice Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 […]

Customer Files Suit Against First Allied Securities, Patricia Thom Patricia Carol Thom (CRD#: 1192935, San Luis Obispo, California) is a prior registered representative of First Allied Securities, Inc. According to Thom’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, at least twelve customers have contested Thom’s sales practices. Specifically, customers’ claims against Thom, including those summarized […]