Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Seth McKinney (CRD: 5832597, Houston, Texas). McKinney has a 12-year career in the securities industry, working with firms such as FHN Financial Securities Corp. (2017-2023) and Coastal Securities Inc. (2013-2017). Recent disclosures indicate that McKinney has been suspended by FINRA due to unauthorized participation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Kurt Allen Berry [CRD: 4550773, Elizabethton, Tennessee]. Berry worked for Vanderbilt Securities LLC from November 1, 2019, to July 7, 2022, and Regulus Advisors LLC from October 5, 2016, to November 6, 2019. Recently, Berry has faced sanctions and a client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Azmi Patrick Sharif [CRD: 6481342, Elmhurst, Illinois]. Evidently, Sharif worked for LPL Financial LLC from July 19, 2018, to January 19, 2023, and has since worked for KCD Financial Inc. and Fourstar Wealth Advisors LLC in Oakbrook Terrace, Illinois. Sharif is involved in client […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses due to the actions of securities broker Jason Steven Hawke (also known as J. Steven Hawke) [CRD#: 4177415, Meridian, Idaho]. Evidently, Hawke is registered with D.H. Hill Securities, LLLP since October 2020, and Hawke Financial Group since September […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have incurred financial losses due to the actions of securities broker Andrew Benjamin Edenbaum [CRD#: 3040543, Boca Raton, Florida]. Edenbaum worked for A.G.P. / Alliance Global Partners from October 2020 to March 2022 in Boca Raton, FL. He also […]

Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina) was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm. FINRA's findings stated that Bell solicited and […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Jim Eugene Scala Jr. (CRD #2493873, Registered Representative, Palm Harbor, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. FINRA gave Scala credit for serving a suspension imposed by his […]