Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former […]

Investors potentially experienced losses because of securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. Here’s more about the securities broker’s disclosures. Mutual Securities Inc. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Joseph Earls Jr. [CRD: 1369915, Roanoke, Virginia]. Earls was previously registered as both a broker and an investment adviser, most recently working for LPL Financial LLC from June 2011 to February 2024. Recent disclosures detail multiple customer disputes, allegations of misappropriation, and an […]

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 […]

Merrill Lynch Broker Christopher Lee Hibbard Indicted For Fraud Christopher Lee Hibbard (CRD#: 3176484, Louisville, Kentucky) is a prior registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) who was indicted in the United States District Court for the Western District of Kentucky on nine counts of wire fraud and one count […]

UBS Sued For Alleged Misappropriation Of Customer Funds UBS registered representative Derek Michael Nierman (CRD#: 2302164, Scottsdale, Arizona) has indicated on his FINRA BrokerCheck Report that his activities have resulted in five customer-initiated investment-related disputes. Those disputes relate to Derek Michael Nierman’s conduct at Morgan Stanley Smith Barney, UBS Financial Services Inc. and Citigroup Global […]

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 […]

Wells Fargo Sued For Misappropriation and Unsuitable Recommendations Jeffrey Scott Thompson (CRD#: 4602601, Lakeland, Florida) has been a Wells Fargo Clearing Services LLC registered representative between November 6, 2013 and June 1, 2017. Wells Fargo Advisors disclosed on Thompson’s FINRA BrokerCheck file that Thompson’s activities in the customer’s account between January 29, 2016 and August […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Huel Cox Jr. (CRD #1638341, Registered Principal, Phoenix, Arizona) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cox consented to the […]