The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.”
Joan Lund Barere (CRD #5710454, Registered Representative, Norwalk, Connecticut)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Barere failed to respond to FINRA requests for information concerning the alteration of a client profiling document and the appropriateness of an investment for that client.
FINRA's findings stated that Barere did not cooperate with FINRA’s investigation.
(FINRA Case #2012034833401)
According to FINRA's BrokerCheck, Joan Lund Barere was previously registered with the following FINRA firm(s):
PEOPLE'S SECURITIES, INC. (CRD# 13704) - STAMFORD, CT
09/2010 - 11/2012
DAVID LERNER ASSOCIATES, INC. (CRD# 5397) - WESTPORT, CT
10/2009 - 09/2010
This ends the summation of information from FINRA’s website.
Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation with an attorney on how to potentially recover your investment losses due to your broker/financial advisor call: 888-760-6552.
Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]
Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]
Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com