Investors complained about securities broker Randall Blake Barkhurst (also known as Randy Barkhurst) [CRD: 2104888, Tualatin, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randall Barkhurst worked for Pruco Securities LLC since December 17, 1990, and Prudential Financial Planning Services since October 13, 2008. The following information is an overview of […]

Investors might have sustained losses due to financial advisor / securities broker Paul Raehpour [CRD: 4508598, McKinney, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paul Raehpour has worked for Merrill Lynch Pierce Fenner Smith Incorporated at their McKinney, Texas location since December 12, 2014. Keep reading to learn more about […]

In the ever-changing landscape of mergers and acquisitions (M&A), Delaware courts remain at the forefront, setting influential legal precedents. Recent decisions from Delaware courts offer critical insights into various aspects of M&A transactions, from fiduciary duties to the impact of stockholder votes. Here’s a closer look at some notable cases from the past year and […]

Investors possibly experienced losses because of securities broker Norman Hugh Meyer [CRD: 3185642, Milpitas, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Meyer has worked for NI Advisors since September 20, 2021, and for Vestech Securities Inc. since June 3, 2016. He also serves as a financial advisor at Vestech […]

Investors complained about securities broker / financial advisor Nancy Ellen Cole (also known as Nancy Ellen Hall) [CRD: 2900724, Sacramento, California]. Notably, SEC filed a complaint about her, and investors disputed her sales practices, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nancy Cole has worked for Western International Securities Inc. since August 28, […]

Investors might have sustained losses due to securities broker Nabil Bouab [CRD: 4340284, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nabil Bouab worked for Garden State Securities Inc. from October 31, 2022, to June 13, 2024, and for American Portfolios Financial Services Inc. from July 26, 2013, […]

DAN E DROEG (DAN EDWARD DROEG, DAN DROEG) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm in March of 2022. Without admitting or denying FINRA’s findings, DAN E DROEG consented to the sanction and to the entry of findings that he allegedly “converted assets of a […]

In a significant development, the U.S. Department of the Treasury has announced plans to introduce new anti-money laundering (AML) and countering the financing of terrorism (CFT) regulations for investment advisers. This initiative aims to address concerns that without consistent AML/CFT requirements, hedge funds and private equity firms could be exploited by corrupt officials and illicit […]

Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]