Trustmont Financial Group Ordered by FINRA to Pay Client Over $1Million
ANDREW T. YOCUM (CRD# 4590723), has been barred by FINRA for allegedly refusing to appear for a FINRA on-the-record testimony [...]
SEC Charges ERNEST JULIUS ROMER III with Alleged Multi-Million Dollar Scam
ERNEST JULIUS ROMER III, a 56 year-old former broker from Shelby Township, Michigan, was registered with CoreCap Investments, Inc. [...]
SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman
SEC Brings Fraud Charges Against FCG Advisors Broker Michael Bressman SEC Brings Fraud Charges Against FCG Advisors Broker Michael [...]
FINRA Bars Benjamin Jerold Broker Juergen Weber
FINRA Bars Benjamin Jerold Broker Juergen Weber Juergen Weber (CRD#: 2617323, New York, New York) has been a registered [...]
SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino
SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is [...]
Did You Invest with Bill Hightower, Formerly with UBS and Legacy Asset in Houston?
WILLIAM ANDREW HIGHTOWER (BILL HIGHTOWER), a former broker from Houston, Texas, who was formerly with UBS Financial Services Inc. [...]
North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion
North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion Brian Frederick Gimelson (CRD#: 2262474, Princeton, New Jersey) was [...]
Meyers Associates Broker Emil Botvinnik Charged With Fraud
Meyers Associates Broker Emil Botvinnik Charged With Fraud Emil Botvinnik (CRD#: 4359481, New York, New York) is a previous [...]
TIMOTHY T. AYRE Charged with Securities Fraud and Unlawful Distribution of HempCoin
TIMOTHY TILTON AYRE (TIMOTHY T. AYRE) of Agawam, Massachusetts had a complaint filed against him by FINRA on September [...]
Former Wells Fargo Advisor, Richard Hughes, Fined and Suspended by FINRA
Richard Hughes, a former Wells Fargo advisor, has been suspended for 8 months and fined $10,000 by the Financial [...]
Did You Experience Losses Due to Former ALLSTATE Broker, Harvey Weisenfeld?
Soreide Law Group, based in Florida, is currently investigating claims brought by former clients of: HARVEY ALAN WEISENFELD CRD#: [...]
Popular Securities Sued Over Unsuitable Puerto Rican Bond Sales
Popular Securities Sued Over Unsuitable Puerto Rican Bond Sales Alberto Castaner (CRD #: 1603341, Fort Lauderdale, Florida) has been [...]
Customer Files Complaint Against Hilltop Securities Over Excessive Trading
Customer Files Complaint Against Hilltop Securities Over Excessive Trading Walter Roland Valenzuela (CRD#: 2280224, Del Mar, California) has been [...]
Morgan Stanley Broker Fined And Suspended For Settling Away
Morgan Stanley Broker Fined And Suspended For Settling Away Morgan Stanley Broker Fined And Suspended For Settling Away Lewis [...]
FINRA Investigating UBS’s Phillip George Farmer For Unsuitability
FINRA Investigating UBS’s Phillip George Farmer For Unsuitability Phillip George Farmer (CRD#: 2306865, Wilmington, Delaware) was a registered representative [...]
Customer Alleges Misrepresentation By Wells Fargo’s Jason Freeman
Customer Alleges Misrepresentation By Wells Fargo’s Jason Freeman Jason Marc Freeman (CRD#: 2339472, Boca Raton, Florida) has been a [...]
Wells Fargo’s Robert Meyers Discharged For Unapproved Recommendations
Wells Fargo’s Robert Meyers Discharged For Unapproved Recommendations Robert David Meyers (CRD#: 1409245, Columbus, Ohio) has been a registered [...]
Complaint Filed Against Park Avenue Securities For Poor Annuity Advice
Complaint Filed Against Park Avenue Securities For Poor Annuity Advice Myles Davis Thurston II (CRD#: 1810907, Maitland, Florida) has [...]
Customers Sue RBC Capital Markets for Unsuitable Municipal Bonds
Customers Sue RBC Capital Markets for Unsuitable Municipal Bonds Samuel Kluft Koltun (CRD#: 1739664, West Palm Beach, Florida) was [...]
Wells Fargo’s Charles Sherman Sanctioned By FOFR
Wells Fargo’s Charles Sherman Sanctioned By FOFR Christopher Charles Sherman (CRD #: 2233839, Viera, Florida) is a prior Wells [...]