Barred Broker Andre LaBarbera Accused Of Unsuitability, Churning The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains alarming information in regard to securities broker Andre Vincent LaBarbera (CRD#: 2072370, Dix Hills, New York). Specifically, the securities broker, who worked for securities firms including Newport Coast Securities, IFS Securities and Titus Rockefeller, is involved in at least […]

Wells Fargo’s Charles Sherman Sanctioned By FOFR Christopher Charles Sherman (CRD #: 2233839, Viera, Florida) is a prior Wells Fargo Advisors, LLC registered representative whose registration was terminated on June 18, 2014. The Florida Office of Financial Regulation issued an Order on April 5, 2017 requiring Sherman to cease and desist breaking rules relating to […]

The Florida Office of Financial Regulation (OFR) issued a Final Order on March 26, 2012, against Charles Schwab & Co, Inc., including a $1.1 million fine, for the distribution of inaccurate descriptions of preferred equity securities, municipal bonds and corporate bonds to customers from 2008 to 2011. Additionally, the OFR examination concluded that Schwab did […]

TALLAHASSEE, Fla. – On The Florida Office of Financial Regulation's website it was announced, July 21, 2011, that The Florida Office of Financial Regulation (OFR) issued a final order on May 26, 2011, against investment adviser James Paul Birmingham (“Birmingham”) (CRD # 222511) and his Broward County companies Birmingham Investments and Birmingham Capital Advisors, LLC for […]