Raymond James Broker Ronald Cameron Sanctioned, Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports that it has sanctioned securities broker Ronald Patrick Cameron (who goes by R. Patrick Cameron) (CRD#: 2551641, Fayetteville, Arkansas). Notably, in April 2021 FINRA issued Cameron a five-week suspension and a $5,000 fine. This resolved FINRA’s allegations that […]

FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]

Merrill Lynch Client Files Dispute About Broker Peter Ianace's Recommendations The Financial Industry Regulatory Authority (FINRA) discloses new information through BrokerCheck as it relates to Peter Vincent Ianace (CRD#: 3238078, Plano, Texas). It appears that the securities broker, who worked for Merrill Lynch (2011 to 2019) and Wells Fargo Clearing Services (2019 to 2020), is […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

FINRA Complaint Center File a FINRA Complaint The Financial Industry Regulatory Authority or “FINRA” offers an investor complaint program where you can file complaints against brokers and brokerage firms that are registered with FINRA. FINRA has the power to take disciplinary action against brokers and their firms that are members. They can also impose sanctions […]

Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Securities Broker Abdul Rahmani Faces FINRA Disciplinary Action Financial industry Regulatory Authority (“FINRA”) shows new investor-related information on BrokerCheck in regard to securities broker Abdul Matin Rahmani (CRD#: 4269583, Mineola, New York). Specifically, FINRA brought a disciplinary action against Rahmani for alleged violations of FINRA rules. Also, Rahmani’s employment ended with SW Financial following allegations […]

AXA Advisors, Equitable Advisors Clients Bring Complaints About Douglas Keller Soreide Law Group provides you with an update on the disclosures pertaining to securities broker Douglas Eugene Keller (CRD#: 1272529, Red Bank, New Jersey). Specifically, there are investor disputes and regulatory sanctions involving the securities broker, who worked for firms including AXA Advisors (2008 to […]

FINRA, NJ Securities Bureau Sanction Raymond James Broker Lance Armstrong The New Jersey Bureau of Securities revoked the securities agent and investment adviser registrations of Lance Roman Armstrong (CRD#: 4592423, Columbia, New Jersey), a former Raymond James Financial Services securities broker. The NJ order comes on the heels of Financial Industry Regulatory Authority’s decision to […]