Tennessee Securities Division Sanctions Raymond James' Bill Woods Financial Industry Regulatory Authority (FINRA) BrokerCheck contains three disclosures regarding securities broker William Forrest Winchester III (Bill Woods) (CRD#: 4404327, Chattanooga, Tennessee). Notably, Tennessee Securities Division reportedly sanctioned Woods for allegedly failing to disclose loans with Raymond James clients. It appears that Raymond James terminated Woods as […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

SagePoint Investor's Suitability Dispute About Securities Broker Joseph Tonyan The investment loss recovery counsel at Soreide Law Group provide you with this update in regard to SagePoint Financial Inc. securities broker Joseph William Tonyan (CRD#: 1252187, Springfield, Missouri). Specifically, FINRA shows that two investors filed disputes about the securities broker. Not only that, but one […]

Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

NYLife Securities Client Files Dispute Involving Securities Broker Andre Senegal Evidently, FINRA BrokerCheck contains new information in regard to securities broker Andre Pierre Senegal (CRD#: 6065655, Oakbrook Terrace, Illinois). Namely, two investor disputes involve Senegal – the most recent of which is from November 2020. Also, OneAmerica Securities (his employer in 2020) permitted him to […]

Securities Broker Thomas Chandler Resigns From Kovack Securities Over Misconduct Allegations FINRA BrokerCheck shows important information in regard to securities broker Thomas Wayne Chandler (CRD#: 1082136, Fort Lauderdale, Florida). Evidently, Chandler worked for securities firms Merrill Lynch, LPL Financial (2014 to 2018) and Kovack Securities (2019 to 2020). Notably, both Kovack Securities and LPL Financial […]

INVESTOR ALERT: Misconduct Allegations Against Securities America Brokers THOMAS ABBOUD, KENNETH FOREMAN, ROBERT MITCHELL JR. Securities America, Inc. (CRD#: 10205, Lavista, Nebraska), which is a brokerage firm regulated by FINRA’s Kansas City district office, revealed through FINRA BrokerCheck that several of its brokers allegedly engaged in conduct that could have both run afoul of FINRA […]