SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

SEC Bars Securities America's Hector May Soreide Law Group is evaluating possible claims against Securities America, Inc. general securities representative and Executive Compensation Planners Inc. President, Hector May (CRD#: 323779, New City, NY). Evidently, in December 2018, May pleaded guilty to 1 count of investment adviser fraud and 1 count of conspiracy to commit wire […]

JESSE HOLOVACKO Fraud Conviction Affirmed The United States Court of Appeals for the Third Circuit affirmed Merrill Lynch financial advisor Jesse Holovacko’s (CRD#: 5112298, Edison, New Jersey) convictions of 6 counts of wire fraud and 1 count of investment advisor fraud, according to an unpublished Opinion filed July 22, 2019 in U.S.A. v. Jesse Holovacko, […]

Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal Alliance Associates, Inc. investment adviser representative, pleaded guilty to a United States Attorney for the District of Massachusetts’ criminal charges including investment adviser fraud, wire fraud and identify theft. Kitts admitted to her role in defrauding […]