FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

FINRA barred securities broker Norman Lynn Hill [CRD: 1535969, Wellesley, Massachusetts], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Ameriprise Financial Services LLC from March 8, 2024, to October 13, 2025, and previously worked for Citizens Securities Inc. from January 25, 2007, to January 29, 2024. See below […]

FINRA barred securities broker Pablo Leonel Gherardi [CRD: 4602689, Miami, Florida], and one or more investors complained about him, given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gherardi worked for Jefferies LLC from May 5, 2017, to December 6, 2024. Investors are encouraged to continue reading to discover more about the […]

FINRA barred securities broker Marcelo Javier Poliak [CRD: 2465622, Miami, Florida], and multiple investors complained about him, according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcelo Poliak worked for Jefferies LLC from May 5, 2017, to December 6, 2024. See the following information to find out more about disclosures involving Poliak […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: MARK JEFFREY GRANT, B. RILEY WEALTH MANAGEMENT, and COLLIERS SECURITIES, LLC. (Respondents) The Claimant is in her seventies, retired, and living in Florida.  She made the following claims against the Respondents, MARK JEFFREY GRANT (GRANT, MARK J GRANT), B. RILEY […]

FINRA fined securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) [CRD: 4730054, McDonough, Georgia], and investors complained about her, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hilliard worked for Stifel Nicolaus from January 13, 2020, through November 24, 2023, Edward Jones from January 13, 2004, through December […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors apparently complained about securities broker Alex Boyd Mathis [CRD: 2235598, Westlake Village, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mathis worked for Western International Securities Inc. from November 16, 2011, through June 5, 2025, and became registered with LPL Financial LLC beginning June 5, 2025. Investors are […]

Investors may have suffered financial harm by securities broker Rainey Steven Rogers Sr. [CRD: 1839823, McKinney, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers worked for Principal Securities Inc. from August 30, 1988, to February 14, 2022, as a securities broker and from March 24, 2005, to February 14, 2022, as […]