Investors might have sustained losses due to securities broker Jason Kimber [CRD: 6244188, Logan, Utah], based on disclosures on Financial Industry Regulatory Authority BrokerCheck. Jason Kimber worked for J.W. Cole Financial Inc. beginning May 8, 2018, and later became registered with J.W. Cole Advisors Inc. starting November 24, 2020. The information below summarizes client disputes […]

FINRA fined securities broker James Craig Etter [CRD: 5576744, Austin, Texas], according to disclosures on FINRA BrokerCheck. It appears that Etter worked for NatAlliance Securities LLC from January 6, 2012, to April 27, 2023. Keep reading to learn more about Etter’s disclosures. FINRA Sanctioned Etter For Undisclosed Private Securities Transactions And Outside Business Activities Evidently, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Anida Venniro (also known as Enida Kerciku, Enida Venniro) [CRD#: 5121189, Orlando, Florida]. Anida Venniro worked for Ameriprise Financial Services, LLC from March 2021 to June 2024 and previously held positions at LPL Financial LLC, among others, during her 17-year career. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disciplinary actions involving securities broker Cladius Olaniran Tokunboh [CRD: 6058294, Lewisville, Texas]. Tokunboh worked for TIAA-CREF Individual and Institutional Services LLC from July 28, 2015, to July 14, 2022. FINRA investigated Tokunboh for potential undisclosed outside business activities during his employment at TIAA-CREF. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Brian Carroll Beh [CRD: 1500962, Richmond, Virginia]. Beh has worked for Frontier Solutions LLC since July 21, 2021, and worked for MMX Global Partners LLC from November 1, 2018, to December 18, 2020. Recently, FINRA took action against Beh for allegedly […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Brandon Larsen [CRD: 6192239, Green Bay, Wisconsin]. Evidently, Larsen worked for Thrivent Investment Management Inc. from October 3, 2013, to January 22, 2024, before joining Equity Services Inc. on February 21, 2024. Larsen’s disclosures include allegations of unauthorized trading and failure to disclose outside […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Lincoln Lucas Mason [CRD: 7057393, Arnolds Park, Iowa], given the disclosures on FINRA BrokerCheck. Evidently, Mason worked for Edward Jones from March 29, 2019, to December 23, 2021. Continue reading to learn more about Mason's disclosures. FINRA Sanctions […]

FINRA Banishes Merrill Lynch’s Christopher Hellman For Stonewalling Investigation The Financial Industry Regulatory Authority (“FINRA”) barred Merrill Lynch securities broker Christopher Charles Hellman (CRD#: 6584084, Boca Raton, Florida) for failing to provide information to FINRA during its investigation of Hellman’s possible private securities transactions and outside business activities. Evidently, Mr. Hellmann submitted a Letter of […]

J.P. Morgan Terminates Brokers Donovan Hunter, Lindsay Chapman J.P. Morgan Securities LLC (CRD#: 79, New York, New York) is a brokerage firm that the Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment adviser firm which the Securities and Exchange Commission (“SEC”) regulates. Notably, regulators have brought actions against J.P. Morgan Securities at least 331 […]