Barred Broker Greg Levine Allegedly Failed To Repay Multiple Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Gregory Alan Levine [CRD#: 2401300, Fort Lauderdale, Florida]. He worked for First Allied Securities Inc. between July 6, 2012 and July 10, 2017. Notably, at least 10 clients brought […]

Did Jeremy Monte Cause You Losses? Former American Portfolios Financial Services securities broker Jeremy Monte (CRD#: 4601512, Fairport, New York) allegedly sold unsuitable investments to investors. Apparently, the Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that at least five clients of his filed disputes about his sales practices. Here’s more on the allegations against […]

Broker JIM HEAFNER Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred Taylor Capital Management Inc. securities broker Jim Heafner (CRD#: 4837072, Charlotte, North Carolina). Evidently, in a Letter of Acceptance, Waiver and Consent (“AWC”) #: 2018059962701, which was executed by Heafner June 6, 2019 and accepted by FINRA July 30, 2019, Heafner […]

The Financial Industry Regulatory Authority, Inc. (FINRA) has barred NINA SUE JESSEE (NINA JESSEE, NINA CAMPBELL JESSEE) CRD#: 1484808 from acting as a broker or otherwise associating with a broker-dealer firm. Jessee, resigned from Cetera Advisors of Abingdon, Virginia in November of 2017 following allegations of unauthorized outside business activity. According to FINRA, on June […]