Latest Securities Lawyer News

Investors potentially experienced sales practice violations because of securities broker Alfred Gerald Block (also known as Archie Block) [CRD: 1192064, Little Silver, New Jersey], according to disclosures on FINRA BrokerCheck. Block joined Buckman Buckman Reid Inc. on February 10, 2017. Read below to learn more about the disclosures involving this broker and the investments that […]

Investors reportedly complained about securities broker Derrick Timothy Watts [CRD: 2479608, Chicago, Illinois], according to public information reported on FINRA BrokerCheck. Derrick Watts joined Packerland Brokerage Services Inc. in Chicago, Illinois as both a securities broker and a financial advisor in January 2020. Before that, Watts worked with B. Riley Wealth Management in St. Charles, […]

Investors might have sustained losses because of securities broker Leonard Neil Rich [CRD: 375427, Uniondale, New York], according to disclosures on FINRA BrokerCheck. It appears that Leonard Rich has been registered with Joseph Gunnar Co. LLC since February 24, 2003. Keep reading to learn more about the securities broker’s disclosures and what they might mean […]

Investors reportedly may have incurred losses because of securities broker Mary Joanne Petretto (also known as MaryJoanne Petretto and MJ Petretto) [CRD: 3210670, Guilford, Connecticut], according to disclosures on FINRA BrokerCheck. According to the regulator, Mary Petretto has worked for Innovation Partners LLC since November 11, 2015. Here’s more about the disclosures related to this […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Baris Cabalar (also known as Barry Calabar) [CRD: 4749342, Fort Lauderdale, Florida]. Baris Cabalar has worked for five firms in his 17-year career. Evidently, he is employed at PHX Financial, Inc. since December 18, 2015. Recent disclosures reveal concerns about Cabalar’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marc Harrison [CRD#: 1605568, New York, NY]. Marc Harrison worked for several firms during his career. He has been registered with Reid & Rudiger LLC since November 8, 1999, in New York, New York. Previously, Harrison worked for Emmett A Larkin Company, Inc. in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ahmad Mohamed Maklou (also known as Ed Maklouf) [CRD: 6092943, Staten Island, New York]. Ahmad Maklouf worked for Spartan Capital Securities, LLC (August 2017 to December 2022), Worden Capital Management LLC (November 2016 to September 2017), and Legend Securities, Inc. (June 2014 to November […]

Investors possibly experienced losses because of securities broker Kyle M. Wool [CRD: 4238101, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Wool worked for various firms, including Morgan Stanley from May 6, 2013, to February 18, 2021, Revere Securities LLC from January 20, 2021, to April 12, […]

Investors might have sustained losses due to securities broker Robert Spaulding Gleason Jr. [CRD: 1415067, Owensboro, Kentucky], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Gleason worked for IFP Securities LLC from February 2, 2022, to May 6, 2022, and Cantella Co. Inc. from November 21, 2016, to December 23, 2021. […]