Latest Securities Lawyer News

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theresa Allen (also known as Theresa Binkley, Theresa Givens) [CRD: 2183693, Newport Beach, California]. Allen has worked in the securities industry for 32 years, most recently registering with RBC Capital Markets LLC in April 2023. Prior to that, she was employed with First Republic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Steve Allen Moise (also known as Steve Allen, Steve Alan Moise) [CRD: 4995443, Mineola, New York]. Moise previously worked for multiple brokerage firms, including Joseph Stone Capital L.L.C. from 2016 to 2022. Recent disclosures reveal regulatory actions and client disputes concerning Moise’s alleged excessive […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Stephen James Sperling (CRD: 3061073, Palatine, Illinois). Sperling worked for Wintrust Investments LLC from 2007 to 2024 and previously held positions at LaSalle Financial Services, Harris InvestorLine, and Harris Investors Direct. Recent disclosures highlight concerns regarding Sperling’s conduct, including client disputes related to unsuitable […]

EDWARD T HILL (EDWARD HILL, ED HILL, EDWARD TERRAL HILL) has been registered both as an investment advisor and broker with LPL FINANCIAL LLC of West End, North Carolina since 3/1/2018. Hill was previously registered both as a broker and investment advisor with EDWARD JONES of West End, North Carolina from 2012-2018. According to FINRA’s […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Seth McKinney (CRD: 5832597, Houston, Texas). McKinney has a 12-year career in the securities industry, working with firms such as FHN Financial Securities Corp. (2017-2023) and Coastal Securities Inc. (2013-2017). Recent disclosures indicate that McKinney has been suspended by FINRA due to unauthorized participation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Scott Willard Taubman (also known as Scott W. Taubman, Scott Taubman) [CRD: 4809824, Peoria, Arizona]. Taubman previously worked for several brokerage firms, including Ameriprise Financial Services LLC from 2017 to 2022. Recent disclosures raise concerns about Taubman’s conduct, including regulatory sanctions and a pending […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ryan T. Murphy (CRD: 4332032, Savannah, Georgia). Murphy was registered with Truist Investment Services Inc. from February 2006 to May 2024. Recent regulatory actions have resulted in a permanent bar from the securities industry following allegations related to misconduct and failure to comply with […]

JASON PRICE LAMB has been registered as a broker with ARETE WEALTH MANAGEMENT, LLC of Nashville, Tennessee since 2/8/2021.  He was previously registered with CENTER STREET SECURITIES of Soquel, California, from 06/17/2009 - 12/01/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JASON PRICE LAMB, has been in the securities industry for […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Morgan Vance (CRD: 1887560, Sonora, California). Vance previously worked for Moloney Securities Co. Inc. from June 2016 to November 2023 and was registered with multiple other firms throughout his career. Recent disclosures indicate allegations against Vance, including suitability concerns, negligence, and regulatory actions […]