INVESTOR ALERT: Claims Against Citigroup Global Markets Inc. Brokers Becky Woo, John Kelly Citigroup Global Markets Inc. (CRD#: 7059, New York, New York) is both a FINRA-regulated brokerage firm and SEC-regulated investment advisory. The firm, established January 25, 1960, discloses an alarming rate of regulatory events and arbitrations on FINRA BrokerCheck. Specifically, regulators have taken disciplinary […]

LPL Financial Disaffiliates With Mark Thomas Lamkin For Private Securities Transactions Mark Thomas Lamkin (CRD#: 2121510, Louisville, Kentucky) is a prior LPL Financial LLC securities representative. Apparently, Lamkin worked in the firm’s Louisville, Kentucky offices between February 9, 2001 and September 14, 2018. Notably, LPL Financial LLC discharged Lamkin for engaging in misconduct that could […]

INVESTOR ALERT! MML Investors Terminates Michael Vogt, Aaron Black, Thomas Ebel, William Pitre MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm regulated by Securities and Exchange Commission (“SEC”). Apparently, the company is also known as MassMutual Financial Group, In Good […]

Customers Raise Allegations Of Edward Jones Broker Misconduct Edward Jones – an investment adviser firm and brokerage firm regulated by both Financial Industry Regulatory Authority (“FINRA”) and Securities Exchange Commission (“SEC”) disclosed on its FINRA BrokerCheck Profile that on 71 occasions, the firm has been on the receiving end of a regulatory action for allegedly […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report.  Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months following allegations that he engaged in an outside business […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Glen Edward Smith Jr. (CRD #1023145, Registered Principal, Lake Worth, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith […]