Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Luke Foster Lannister (also known as Lucas Foster Seward) [CRD: 6317373, Rockville, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luke Lannister worked for Grove Point Investments LLC from February 16, 2021, to November 28, […]

KEVIN P SMITH (KEVIN PETER SMITH) CRD#: 1363302, a former Morgan Stanley financial advisor from Minneapolis, Minnesota, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm on October 8, 2018. According to FINRA, without admitting or denying the findings, KEVIN P SMITH […]