Jayme Frances Lemaire, also known as Jayme Frances McKenna (CRD: 4336052), is a former securities broker based in Glastonbury, Connecticut. She worked for Raymond James Financial Services Inc. from April 20, 2021, to July 15, 2025; Lincoln Investment from July 11, 2025, to July 22, 2025; and International Assets Advisory LLC from July 24, 2025, […]

Bertram Courtney Johnson II [CRD: 6816674], a former securities broker who worked in Bloomfield Hills, Michigan, was named in a client complaint and later sanctioned by the Financial Industry Regulatory Authority (FINRA). According to FINRA BrokerCheck disclosures, investors may have sustained losses related to allegations involving Johnson. He was registered with Hantz Financial Services Inc. […]

Daniel Gustavo Diaz (CRD: 1715827), a former securities broker last registered in Miami, Florida, was permanently barred from associating with Financial Industry Regulatory Authority (FINRA) member firms, according to BrokerCheck. He worked for Merrill Lynch from October 30, 1989, to March 21, 2025, and Raymond James Associates Inc. from May 5, 2025, to September 8, […]

Mahmoud ElAwadi (also known as Mahmoud El Awadi; CRD: 5319152), a former securities broker in Orlando, Florida, worked for Wells Fargo Clearing Services LLC from February 28, 2019, to January 20, 2026. His FINRA BrokerCheck disclosures include a regulatory sanction and pending client arbitration claims involving possible investment losses. Here is what led to the […]

Gary Talbot (CRD: 3059670), a securities broker based in New York, New York, has worked for Spartan Capital Securities LLC since February 29, 2016. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures, he was sanctioned over a pattern of excessive trading that may have caused investor losses. Here’s more about the regulatory action against […]

FINRA sanctioned William Nicholas Pugh (CRD: 4855771), a former securities broker in Los Angeles, California. Pugh worked for Columbia Capital Securities Inc. from August 30, 2021, to September 15, 2024. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record shows that the regulatory action against him concerned private securities transactions. Here is a closer look at […]

Investors might have sustained losses due to securities broker James Michael Poindexter [CRD: 1867899, Prescott, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Poindexter has been registered with McDermott Investment Services LLC since January 3, 2019, and Independent Wealth Network Inc. since October 2, 2017. Keep reading to learn more about […]

Soreide Law Group is investigating whether brokers or financial advisors improperly recommended or marketed CS1031 Livingston Apartment Flats, DST, a private real estate offering sponsored by Capital Square Realty Advisors LLC. The Delaware statutory trust owns a 307-unit apartment community in Chesterfield County, Virginia, and was offered to accredited investors, including those seeking a Section […]

FINRA fined and suspended Josiah D. Jennings (CRD: 6031164), a former securities broker in Los Angeles, California. Jennings worked for Columbia Capital Securities Inc. from October 4, 2021, to September 15, 2024, and his FINRA BrokerCheck disclosures describe a regulatory matter involving private securities transactions. Here is how the case unfolded. FINRA Fined And Suspended […]