FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors supposedly complained about securities broker Jeremy Matthew Benson [CRD: 6249020, San Antonio, Texas], based on publicly available information reported on FINRA BrokerCheck. Jeremy Benson worked for NYLIFE Securities LLC from April 23, 2014, to February 29, 2024. Read on to learn more about the disclosures involving Benson, including investor allegations and the circumstances surrounding […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

Levinski Dealexis Barnes (CRD #2292179, Registered Representative, Lutz, Florida) has been named a respondent in a FINRA complaint alleging that he discussed with a customer an investment in an accounting business that Barnes and other individuals were contemplating purchasing. The FINRA complaint alleges that Barnes told the customer that if the offer for the business […]