Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Employee Stock Options and Ownership Plans: Key Information Employee stock options (ESOs) and employee stock ownership plans (ESOPs) are popular benefits offered to employees by both private and publicly-traded companies; in certain cases, consultants, contractors and even investors may be offered stock options. The underlying stock options provide employees or stakeholder with a stake in […]

KITTIANY DAVIS BARRIOS, a previously registered broker, was permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. KITTIANY DAVIS BARRIOS was formerly registered with PFS INVESTMENTS, INC of Cranbury, New Jersey from 03/15/2019 - 02/22/2024. According to FINRA’s BrokerCheck, available to the public […]

JASON KIMBER has been registered as a broker since May of 2018, and as an investment advisor since November of 2020, with JW COLE FINANCIAL, INC of Logan, Utah. Kimber was previously registered with Allegis Investment Services, LLC of Clearfield, Utah, from July of 2014 – May of 2018. According to FINRA’s BrokerCheck, available to […]

DARRACH MICHAEL BOURKE (DARRACH BOURKE), has been registered both as a broker and an investment advisor with EMERSON EQUITY LLC of Mill Valley, California, since May of 2017.  According to FINRA’s BrokerCheck, available on FINRA’s website to the public, DARRACH BOURKE, has been in the securities industry for 17 years and has been listed with […]

EVAN JAY ADELGLASS, according to FINRA’s BrokerCheck, has been registered both as a broker and as an investment advisor with LPL FINANCIAL LLC, in Ansonia, Connecticut, since August 31, 2005. According to BrokerCheck, available on FINRA’s website to the public, EVAN JAY ADELGLASS, has been in the securities industry for 30 years and was listed […]

           Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against:            WELLS FARGO CLEARING SERVICES, LLC, and their registered representative,             JEREMY C MAURER (Respondents). The Claimant is a widow in her 90s, who resides in California. The lawsuit states that the Claimant’s late husband managed all the household […]

JAMES ALOYSIUS CONWELL II (JIM CONWELL, JAMES A CONWELL) is currently registered with INTERNATIONAL ASSETS ADVISORY, LLC of Daphne, Alabama, as a broker since 7/24/17 and as an investment advisor since 12/18/2018. Conwell was previously registered with WFG ADVISORS, LP of Daphne, Alabama. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JAMES […]

STEPHANIE LISA HAYES (Lisa Hayes), a former broker/financial advisor with COMMONWEALTH FINANCIAL NETWORK, INC., of South Nyack, New York, recently had a “Customer Dispute” filed against her on October 31, 2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the allegations against STEPHANIE LISA HAYES reported in the “Customer Dispute” are as […]