One or more investors possibly experienced losses due to securities broker Thaddaeus Daniel Allen [CRD: 5644772, Topeka, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Allen worked for Edward Jones from April 14, 2009 to August 15, 2022, and is currently registered with Smith Moore Co. as of August 12, 2022. Keep reading to find […]

FINRA barred securities broker Mohammed Arif Salim [CRD: 7126671, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Mohammed Salim worked for Morgan Stanley from November 18, 2022 to November 5, 2024, and Charles Schwab Co. Inc. from December 2, 2021 to November 15, 2022. Read the following sections […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]

FINRA barred securities broker Edgar Sarkis Shanoyan [CRD: 6355599, Rutherford, New Jersey] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Shanoyan worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 27, 2016, to October 19, 2023. Keep reading to learn more about the […]

FINRA barred securities broker Joseph Michael Cannon (also known as Joe Cannon) [CRD: 6341199, Chicago, Illinois] and a client complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cannon worked for Northwestern Mutual Investment Services LLC from April 16, 2016, to September 11, 2024. Below, you can find important […]

FINRA barred securities broker Jeffrey Arthur Perryman [CRD: 2019969, Johnstown, Colorado] and investors complained about him, according to disclosures on FINRA BrokerCheck. Apparently, Perryman worked for NYLIFE Securities LLC from April 11, 1990, to May 9, 2024. Keep reading to learn more about the pending allegations concerning Perryman’s conduct while working with this brokerage firm. […]

FINRA barred securities broker David Lee Jerke [CRD: 5129935, Tacoma, Washington] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Jerke worked for LPL Financial LLC from January 14, 2021, to December 23, 2024, and for Securities America Inc. from November 6, 2020, to January 14, 2021. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Jay Rustic (CRD#: 1128406, Bristol, Connecticut). Rustic has been registered with Commonwealth Financial Network since February 26, 2002. Previously, he was affiliated with First Investors Corporation from April 1983 to February 2002. Recent disclosures reveal concerns regarding Rustic's professional conduct, specifically allegations of […]