Investors reportedly complained about securities broker Tony Alan Tolene [CRD: 5730068, Harrisburg, Pennsylvania], according to publicly available information reported on FINRA BrokerCheck. Tony Tolene worked for Infinity Financial Services from October 19, 2016 to June 27, 2025. Keep reading to know more about Tony Tolene’s disclosures and the nature of the client allegations brought against […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Roger Philip Turcotte [CRD: 1180997, Tampa, Florida]. Recent regulatory actions highlight concerns regarding Turcotte’s conduct, specifically allegations involving inaccurate recordkeeping and violations of firm policies. Regulatory Action by FINRA On September 3, 2024, FINRA initiated disciplinary action against Roger Turcotte, citing violations related to […]

FINRA suspended and fined securities broker Andre Krause [CRD: 4060322, Woodbridge, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andre Krause joined The Investment Center Inc. on January 14, 2005. Keep reading to learn more about Andre Krause’s regulatory issues and how they might have affected his clients. FINRA Fined […]

J.P. Morgan Terminates Brokers Donovan Hunter, Lindsay Chapman J.P. Morgan Securities LLC (CRD#: 79, New York, New York) is a brokerage firm that the Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment adviser firm which the Securities and Exchange Commission (“SEC”) regulates. Notably, regulators have brought actions against J.P. Morgan Securities at least 331 […]

Soreide Law Group (888-760-6552) obtained the following information from the January 2017 Disciplinary Report on FINRA’s website; Richard Lynn Hollan (CRD #1401016, Houston, Texas) was fined $5,000 and suspended by FINRA for one month.   According to the FINRA report, during the time period of June 10, 2013 through September 10, 2015, Richard Hollan allegedly […]