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 […]

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 […]

Investors apparently complained about securities broker Alex Boyd Mathis [CRD: 2235598, Westlake Village, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mathis worked for Western International Securities Inc. from November 16, 2011, through June 5, 2025, and became registered with LPL Financial LLC beginning June 5, 2025. Investors are […]

Investors may have suffered financial harm by securities broker Rainey Steven Rogers Sr. [CRD: 1839823, McKinney, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers worked for Principal Securities Inc. from August 30, 1988, to February 14, 2022, as a securities broker and from March 24, 2005, to February 14, 2022, as […]

Investors potentially experienced sales practice violations by securities broker Sean Hosein (also known as Sean Sherwin) [CRD: 4164630, New York, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hosein worked for National Securities Corporation from March 15, 2013, to May 19, 2022, and has been registered with PHX Financial Inc. […]

Investors potentially incurred losses because of securities broker James Edward Van Meter (also known as James Edward VanMeter) [CRD: 4557517, Reno, Nevada], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Van Meter worked for Center Street Securities Inc. from August 15, 2013, to May 2, 2023, Center Street Advisors Inc. […]