FINRA reports important information about securities broker Kevin Andrew Hobbs (CRD: 4267482, Lake Worth, Florida). Not only has FINRA sanctioned Hobbs for inaccurate information during a FINRA investigation, but investors disputed the sales practices of the securities broker. Here’s more about the FINRA regulatory action and investor disputes on Hobbs’ record. Hobbs Sanctioned By FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Tyrone Smiles [CRD: 4370937, Newark, New Jersey]. Notably, FINRA sanctioned the securities broker, who worked for Prudential Investment Management Services LLC. Allegedly, Smiles engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Smiles. FINRA Bars Prudential Investment […]

Soreide Law Group is investigating possible investor claims against securities broker Peter James Fetherston [CRD: 2108610, Melville, New York]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Principal Securities Inc. Allegedly, Fetherston converted funds. Here is a brief summary of FINRA’s allegations against Fetherston. FINRA Charges Peter Fetherston […]

Broker Cynthia Cowden Barred By FINRA Financial Industry Regulatory Authority (FINRA) indefinitely barred (expelled) securities broker Cynthia Diane Cowden (Cynthia Case) (CRD#: 2054676, Lake Isabella, California). Not only that, but BrokerCheck shows that three investors brought disputes about the securities broker, who worked for securities firm NPB Financial Group from 2013 to 2020. Let’s take […]

FINRA Investigates LPL Financial Broker Cheryl Ann Stallings Cheryl Ann Stallings (CRD#: 1162913, Amarillo, Texas) is a past registered representative of LPL Financial LLC. Financial Industry Regulatory Authority (“FINRA”) disclosed on Stallings’s BrokerCheck file that as of July 27, 2018, it is investigating Stallings for purportedly misappropriating LPL Financial customer funds, falsifying statements to LPL […]

Chris Fulco (CRD #4093586, Staten Island, New York) barred by FINRA for allegedly participating, either directly or indirectly, in the sales of a non-public company’s shares away from his member firms without providing written notice to or receiving approval from his firms. FINRA's findings stated that Fulco concealed his involvement in the transactions, from one […]