FINRA sanctioned securities broker John Alfred Dow Jr. [CRD: 2524415, Stillwater, Minnesota], according to disclosures on FINRA BrokerCheck. According to the regulator, John Dow worked for Morgan Stanley from August 1, 2012, to May 21, 2024. Here’s more about the disclosures concerning Dow. FINRA Barred Dow For Failure to Produce Documents Particularly, on January 6, […]

FINRA sanctioned securities broker Christopher Philip Arnella [CRD: 4886531, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Arnella worked for Morgan Stanley since June 1, 2009, as a securities broker and since June 27, 2013, as a financial advisor. Regulatory records indicate that Arnella was sanctioned by FINRA for […]

FINRA is pursuing an enforcement action against securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], according to disclosures on FINRA BrokerCheck. According to the regulator, Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. FINRA has alleged that Christensen failed to provide documents and testimony as part of an […]

Investors reportedly may have incurred losses due to securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], according to disclosures on FINRA BrokerCheck. According to the regulator, Godfrey worked for Benjamin F. Edwards Company Inc. from October 1, 2021, to November 21, 2023, and for […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Victor Alan Lessinger (CRD#: 830821) previously of Boca Raton, Florida. Lessinger’s career spans over 44 years, with employment at nine firms, including Colorado Financial Service Corporation from October 2012 to April 2023. Recent disclosures highlight concerns about Lessinger’s conduct, including regulatory actions and client […]

Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Reuben Lamont Brown [CRD: 7089559, Southlake, Texas], and Edward Jones investors complained about him, according to disclosures on BrokerCheck. Evidently, Reuben Brown worked for Edward Jones from August 2, 2019, to September 2, 2022. Keep reading to learn more about the securities broker’s disclosures. Brown Expelled By […]

Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Robert Steven Meyer [CRD: 3074785, Point Pleasant Beach, New Jersey], and some of his former clients complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meyer worked for Monmouth Capital Management LLC from July 25, 2018, to June 9, 2023. Here’s more on […]