FINRA expelled John Petrone [CRD: 5634972, Willowick, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, John Petrone was employed by Farmers Financial Solutions LLC from March 16, 2009, to December 31, 2022. Here’s more about the regulatory actions involving John Petrone. Regulatory Action Against Petrone Concerned Trading In Elder Client’s Account FINRA barred Petrone on […]

FINRA expelled securities broker James Brett Stuart (also known as Bradley Lee Thompson) [CRD: 3022149, Castle Rock, Colorado], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Stuart worked for Richfield Orion International Inc. from December 10, 2007, to November 3, 2022. Here’s more about the securities broker’s disclosures. James Stuart Committed Supervisory Failures, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jae Hun Kim [CRD: 4620963, Cortlandt Manor, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jae Kim worked for E1 Asset Management from February 6, 2003, to March 4, 2024. Here’s more about […]

FINRA expelled securities broker Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay) [CRD: 4064817, Greensboro, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Peterman worked for Truist Investment Services Inc. from August 1, 2021, to May 16, 2023. Here’s more about Christina Peterman’s […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Dustin Paul Shafer [CRD: 4198962, Springfield, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dustin Shafer worked for Newbridge Securities Corporation from September 4, 2019, to November 4, 2020, and for Money Concepts Capital […]

FINRA sanctioned securities broker Brett Arthur Hartvigson [CRD: 2263087, San Diego, California], and investors might have sustained losses because of him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hartvigson worked for Independent Financial Group LLC from April 6, 2009, to October 27, 2023. Here’s more about Hartvigson’s disclosures. Financial Industry Regulatory […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Aloysius Dougherty (also known as Jack Dougherty) [CRD: 3018615, Blue Bell, Pennsylvania], given the disclosures on FINRA BrokerCheck. Evidently, Dougherty worked for LPL Financial LLC from January 4, 2021, to August 11, 2023, and for Wells Fargo […]

Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more. FINRA Sanctioned Golding For Refusal To […]

Some investors have potentially experienced damages because of securities broker Robert Allen Silvestri (also known as Rob Silvestri) [CRD: 2037669, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Silvestri worked for Aegis Capital Corp. in 2023, in Dallas, Texas. He also worked for Level Four Financial LLC from 2018 to […]