Cape Securities Broker Kevin Meadows Suspended For Excessive, Unsuitable Trading On January 28, 2020, the Financial Industry Regulatory Authority (“FINRA”) suspended Kevin Meadows (CRD#: 2878889, Columbus Georgia). Namely, the securities broker, who worked at Cape Securities (2013 to 2017), Lombard Securities (2018) and IBN Financial Services (2018 – present), accepted sanctions from the financial watchdog […]

On July 19, 2013, two South Florida brokers were barred by the Financial Industry Regulatory Agency (FINRA). In an article from the Sun Sentinel, Donna Gehrke-White writes that they were both accused of mishandling money. However, one case is on appeal and the sanctions don't take effect, pending the appeal. Alan Jay Davidofsky, Delray Beach, […]

TALLAHASSEE, Fla. – On The Florida Office of Financial Regulation's website it was announced, July 21, 2011, that The Florida Office of Financial Regulation (OFR) issued a final order on May 26, 2011, against investment adviser James Paul Birmingham (“Birmingham”) (CRD # 222511) and his Broward County companies Birmingham Investments and Birmingham Capital Advisors, LLC for […]