Investors may have faced losses due to Clifton Brent Smith [CRD: 2658251, Atlanta, Georgia], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith, a financial advisor and securities broker regulated by FINRA, joined Raymond James Associates Inc. in Atlanta, Georgia, on November 7, 2023. Prior to this, his career included stints […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through Jesus Rodriguez [CRD: 4888685, El Paso, Texas]. Rodriguez was previously registered as both a financial adviser and a securities broker, with past affiliations including Morgan Stanley in El Paso, Texas, where he was registered from June 1, 2009, […]

BARRY FRANKLIN CONNELL (BARRY F CONNELL) CRD#: 3070984, according to a recent article in Financial Advisor IQ, was barred by the SEC on Jan. 5, 2021, for stealing millions of dollars from clients.  Connell, a former financial advisor from Morgan Stanley of Ridgewood, New Jersey, was additionally sentenced to three years in prison. BARRY F […]