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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christopher Todd Bailey (also known as Chris Bailey) [CRD#: 6907048, Cumming, Georgia]. Bailey worked for NYLIFE Securities LLC from May 2021 to January 2022 and later joined MML Investors Services, LLC from November 2022 to March 2024. Recent disclosures highlight concerns about Bailey’s conduct, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Tilak J. Shah [CRD: 6416854, Boston, Massachusetts]. Evidently, Shah worked for NYLife Securities LLC in 2022 and Cetera Investment Services from 2022-2023 . Keep reading to learn more about the regulatory actions and client dispute surrounding Shah, including the recent allegations that led to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Marat Likhtenstein [CRD: 2470480, Brooklyn, New York]. Evidently, Likhtenstein worked for Osaic Wealth Inc. from November 2, 2018, to June 27, 2024. Keep reading to learn about Likhtenstein’s termination and FINRA's investigation, which resulted in his permanent bar from the industry. FINRA Launches Investigation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures regarding securities broker Louis Peter Goff [CRD: 4882759, Salt Lake City, Utah]. Goff worked for Wells Fargo Clearing Services LLC from September 12, 2011, to October 25, 2023. Keep reading to learn more about the allegations that have led to regulatory actions about Goff. SEC Bars Goff […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jordan Stentiford [CRD: 6946439, Ridgeland, Mississippi]. Stentiford worked for Northwestern Mutual Investment Services LLC from February 24, 2020, to November 29, 2023. Here’s more on a FINRA investigation that resulted in Stentiford being barred as a securities broker. FINRA Barred Jordan Stentiford For Refusing […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jonathan Micheal Gervaise [CRD: 5492872, Radnor, Pennsylvania]. Gervaise worked for Lincoln Financial Distributors Inc. from September 9, 2019, to April 1, 2022, and also worked for Pruco Securities LLC and Jackson National Life Distributors LLC in the years following. His recent history, however, includes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker John Abraham Perez-Cubero [CRD: 6674954, Short Hills, New Jersey]. Perez-Cubero worked for Morgan Stanley from April 4, 2018, to October 6, 2023. His refusal to comply with a FINRA investigation has led to his expulsion from the securities industry. Read on to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Collins D. Bhola [CRD: 6533629, Melville, New York]. Bhola worked for NYLIFE Securities LLC from November 22, 2016, to April 29, 2024. Recently, a FINRA investigation was initiated to explore the circumstances behind his termination from the securities firm and any potential violations of […]