Florida broker Emily Palmer Vitale, with Florida Investment Advisors now known as BT Wealth Advisors, a subsidiary of The Tampa Banking Co., was fined $5000 and suspended for three months by FINRA for allegedly forging a client’s signature. In January 2014, Vitale allegedly cut and pasted a customer’s signature from another document to another.
Christopher Somes Babcock, was barred by FINRA. A former broker with Citigroup Global Markets and Morgan Stanley Smith Barney, Babcock allegedly took $160,000 from his customers and used it for his own use and benefit. Babcock also falsified a customer’s account summaries, falsely inflating the value of the customer’s portfolio.
Jeffery Bowman Ellis, 65, was fined $10,000 and suspended for two months by FINRA. Ellis was formerly registered with Deutsche Bank Securities. Ellis allegedly executed six unauthorized trades in a deceased customer’s account.
Soreide Law Group, represents clients nationwide. If you or a family member have sustained investment losses because of your broker/financial advisor's recommendations, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover those losses: 888-760-6552.
William Kershaw was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/15/2026. William Kershaw was registered as a broker with NYLIFE SECURITIES LLC of Charlotte, North Carolina from 12/16/2024 - 07/17/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]
Michael S Barrows (Michael Scott Barrows) has been suspended by FINRA indefinitely with the start date of 3/27/2026. The Regulator’s Statement was, “Pursuant to FINRA Rule 9553, Respondent Barrows' registration with FINRA is suspended on March 27, 2026, for failure to pay arbitration fees.” Barrows is registered as a broker with INNOVATION PARTNERS LLC of […]
Investors apparently complained about securities broker Thaddeus Michael Eubanks [CRD: 5888014, Yuba City, California], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. FINRA BrokerCheck reflects that Eubanks was registered with Edward Jones in Yuba City, California for more than a decade before his association with the firm ended in 2026. Keep reading […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com