Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John Christoforidis (CRD: 2841315, Garden City, New York). Christoforidis previously worked for multiple brokerage firms, including Spartan Capital Securities LLC from 2016 to 2024. Recent regulatory actions disclose that FINRA has barred Christoforidis from the securities industry following his refusal to provide on-the-record testimony […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joel Randy Freedman (CRD#: 1260557, Radnor, Pennsylvania). Freedman has been employed in the securities industry for 40 years and has worked with several firms, including Morgan Stanley (2009-2024). As of April 2024, he is registered with Sanctuary Securities Inc. and Sanctuary Advisors LLC in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) (CRD#: 4730054, McDonough, Georgia). Basey has been registered with American Global Wealth Management Inc. since November 16, 2023. Previously, she was employed by Stifel Nicolaus from January 2020 to November 2023 and Edward Jones from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Janine Lynn Ledbetter (also known as Janine Lynn Evans) [CRD: 5653943, Vancouver, Washington]. Ledbetter was previously registered as both a broker and an investment adviser, working with Cetera Advisors LLC from 2014 to 2022. Recent disclosures raise concerns regarding Ledbetter’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Vernon Hart (also known as Vern Hart) [CRD#: 1122114, Carmel, Indiana]. Hart works with Raymond James Associates Inc. as of June 16, 2011. Recent disclosures raise concerns about Hart’s conduct, including allegations of excessive fees and mismanagement of a client’s account. Pending Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Cabourne Blaszyk (CRD: 5364851, Boca Raton, Florida). Blaszyk has been registered with Wells Fargo Clearing Services LLC since April 10, 2008, and Wells Fargo Advisors since April 15, 2008. Recent disclosures reveal concerns regarding Blaszyk’s investment recommendations, including a pending client dispute alleging […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gene Tulley West Jr. (CRD: 1569050, Greenwood Village, Colorado). West has been registered with RBC Capital Markets LLC since March 2, 1998, and has over 38 years of experience in the securities industry. Recent disclosures reveal concerns about West’s conduct, including allegations of unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gary Francis Harpe [CRD: 2983634, Farmington Hills, Michigan]. Harpe worked for PFS Investments Inc. from February 1998 to January 2023 before being barred by FINRA. Recent disclosures raise concerns regarding Harpe’s professional conduct, leading to regulatory action and criminal allegations. Regulatory Actions and Sanctions […]