FINRA barred securities broker Johnathon Sawaged [CRD: 7061837, Poughkeepsie, New York], according to publicly available information on FINRA BrokerCheck. Notably, Johnathon Sawaged worked for B. Riley Wealth Management from July 22, 2022 to September 4, 2024, and prior to that, at National Securities Corporation from September 18, 2019 to July 22, 2022. Read the following […]

FINRA barred securities broker Mohammed Arif Salim [CRD: 7126671, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Mohammed Salim worked for Morgan Stanley from November 18, 2022 to November 5, 2024, and Charles Schwab Co. Inc. from December 2, 2021 to November 15, 2022. Read the following sections […]

FINRA barred securities broker Timothy Fleming Jefferson (also known as Tim Jefferson) [CRD: 5004750, Brentwood, Tennessee], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jefferson worked for Aegis Capital Corp. from February 14, 2024 to May 16, 2024, and for Ameriprise Financial Services LLC from August 16, 2013 […]

FINRA sanctioned securities broker James Ryan Parascandola [CRD: 2866028, East Brunswick, New Jersey] and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Parascandola worked for Pruco Securities LLC from May 16, 2022, to May 21, 2024, and for Equitable Advisors LLC from December 9, 2020, to May 18, […]

FINRA has expelled securities broker Stephen Philip King [CRD: 1590508, Eatontown, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, King worked for Cantone Research Inc. from November 17, 2014, to September 5, 2023. Keep reading to learn more about King’s regulatory issues. King Barred By Cantone Over Testimony Refusal According to a regulatory action […]

Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

FINRA expelled securities broker Roger Albert Taft Gallagher [CRD: 5513745, Purchase, New York], according to disclosures on FINRA BrokerCheck. Evidently, Gallagher worked for Morgan Stanley from December 14, 2012 to September 6, 2024. Keep reading to learn more about the disclosures concerning Gallagher. FINRA Sanctioned Gallagher For Failing To Cooperate With An Investigation Evidently, on […]

FINRA has barred Michael Ray Lancaster [CRD: 6992330, Lincoln, Nebraska], according to disclosures on FINRA BrokerCheck. Michael Lancaster worked for Edward Jones from October 18, 2018, to February 2, 2024. Keep reading to learn more about Michael Lancaster’s disclosures and how they may relate to investor losses. FINRA Expelled Lancaster For Failing To Provide Requested […]

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 […]