Evidently, FINRA issued an Acceptance, Waiver Consent (AWC) on April 25, 2019, sanctioning Harry Buckman for supervisory failures. Notably, FINRA found that Buckman failed to adequately oversee two former registered representatives at his firm, resulting in unsuitable and excessive trading in multiple investors' accounts. Because of this, Buckman faced civil fine of $20,000, a suspension […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Grant Douglas Johnson [CRD: 2355556, Boca Raton, Florida], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Johnson was registered with Noble Capital Markets Inc. from February 3, 2021, to February 3, 2023. Keep reading to […]

Investors might have sustained losses due to securities broker Glennon James Cole (also known as Glen Cole) [CRD: 1999588, Manchester, Missouri], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cole was employed by Moloney Securities Co. Inc. from September 14, 2012, to February 8, 2021. Continue reading to learn more about […]

FINRA barred securities broker Fernando Corcuchia [CRD: 5394734, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Fernando Corcuchia worked for NYLife Securities LLC from August 15, 2011, to May 12, 2023. Continue reading to learn more about Corcuchia’s regulatory actions and client disputes. FINRA Barred Corcuchia For Refusal To […]

According to a recent article in InvestmentNews, the Financial Industry Regulatory Authority Inc. (FINRA) recently barred, ANDREW JOSEPH EGBER, a former Wells Fargo Advisor broker from Maryland. Egber was accused of alleged theft by his former employer. According to the article, Egber was not barred from the securities industry for any theft allegations but he […]

FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Edward Dale McCombs [CRD: 2475032, Whitehall, Michigan], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Edward McCombs worked for PNC Investments from November 13, 2009. Keep reading to learn more about the disclosures involving […]

Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever. UBS Financial Services Inc. Accused […]

Investors might have sustained losses due to securities broker Daniel Benjamin Kistler [CRD: 6203300, Rome, Georgia], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kistler has been registered with Dempsey Lord Smith LLC since October 13, 2016. To learn more about the client disputes, keep reading. Dempsey Lord Smith LLC […]