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.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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