Buckman, Buckman & Reid, Inc. VP Investigated For Failure To Supervise Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business […]

FINRA Investigates LPL Financial Broker Cheryl Ann Stallings Cheryl Ann Stallings (CRD#: 1162913, Amarillo, Texas) is a past registered representative of LPL Financial LLC. Financial Industry Regulatory Authority (“FINRA”) disclosed on Stallings’s BrokerCheck file that as of July 27, 2018, it is investigating Stallings for purportedly misappropriating LPL Financial customer funds, falsifying statements to LPL […]

Customers Sue Aegis Capital Corp For Unreasonable Investment Advice Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 […]

Customer Files Suit Against First Allied Securities, Patricia Thom Patricia Carol Thom (CRD#: 1192935, San Luis Obispo, California) is a prior registered representative of First Allied Securities, Inc. According to Thom’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, at least twelve customers have contested Thom’s sales practices. Specifically, customers’ claims against Thom, including those summarized […]

Pruco Securities Dismisses Broker For Violating Annuity Regulations Gerald Ernest Vinella Junior (CRD#: 6260012, East Brunswick, New Jersey) is a prior registered representative of Pruco Securities, LLC. According to Vinella’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, Vinella was employed as a Pruco Securities, LLC registered representative between November 1, 2013 and June 28, 2016, […]

Customer Files Suit Against Laidlaw For Churning Account David Michael Murray (CRD#: 1870050, New York, New York) is a prior registered representative of Laidlaw & Company (UK) LTD. According to Murray’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, his sales practices have been contested by customers on four occasions. The disputes concern customers of Laidlaw […]

THOMAS A DAVIS CRD#: 6121035, a former registered representative with Wells Fargo Advisors in Hilton Head Island, SC, and a former registered banker with Wells Fargo Bank was named a respondent in a FINRA complaint alleging that he converted approximately $2,226 from an affiliated bank of his member firm without authorization from approximately January through […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the former Boca Raton, Florida, broker from FINRA’s website. WILFRED RODRIGUEZ JR (also known as: WILFREDO RODRIGUEZ JR, WIL RODRIQUEZ) CRD#: 2504369, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a […]

KEVIN P SMITH (KEVIN PETER SMITH) CRD#: 1363302, a former Morgan Stanley financial advisor from Minneapolis, Minnesota, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on October 8, 2018. According to FINRA, without admitting or denying the findings, KEVIN P SMITH […]