Investors might have sustained losses through securities broker David William Reimer [CRD: 2350952, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Reimer worked for National Securities Corporation in Mineola, New York, from March 13, 2015, to August 8, 2017, then for Aegis Capital Corp. in New […]

Investors might have sustained losses through securities broker John Raymond Hebner (also known as Jack Hebner) [CRD: 3258824, Hayden, Idaho], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hebner worked for Moloney Securities Co. from July 2, 2003 to December 31, 2023. Keep reading to learn more about Hebner’s disclosures and the […]

Investors potentially experienced sales practice violations because of securities broker Michael Frederick Ginestro (also known as Mike Ginestro) [CRD: 2468911, Los Angeles, California], according to public information on FINRA BrokerCheck. Ginestro joined Merrill Lynch on October 7, 2020, in Los Angeles, California. Before that, he worked for MML Investors Services LLC from February 3, 2020 […]

Investors reportedly complained about securities broker Matthew C. Haverty (also known as Matt Haverty) [CRD: 4618183, Leawood, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Haverty joined RBC Capital Markets LLC on February 8, 2019, operating from their office in Leawood, Kansas. Prior to that, he worked for Morgan Stanley from June 1, 2009 to […]

Investors might have sustained losses due to securities broker Christopher Ollinger Smith (also known as Chris Smith) [CRD: 1047265, Houston, Texas], according to disclosures on FINRA BrokerCheck. Notably, Christopher Ollinger Smith joined Morgan Stanley as both a securities broker and financial advisor on June 1, 2009. Read the following sections to find out more about […]

Investors potentially experienced sales practice violations because of securities broker Mark Connolly [CRD: 4443644, Fort Worth, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Connolly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 1, 2008, operating out of Fort Worth and Colleyville, Texas. Below, you can learn more […]

One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

Investors apparently complained about securities broker Raymond Wyman Chow [CRD: 2860124, Elk Grove, California], according to disclosures on FINRA BrokerCheck. Chow joined Wedbush Securities Inc. in Elk Grove, California, as both a securities broker and financial advisor on March 20, 2008. Below, you can learn more about the disclosures involving Raymond Chow. Wedbush Securities Client […]

FINRA fined securities broker Maxim Patvonimic Tulupnikoff (also known as Maxim Dmitrievi Tulupnikov and as Maxim Tulupnikov) [CRD: 6188857, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Tulupnikoff joined David Lerner Associates Inc. on June 24, 2013, and Spirit of America Management Corp on March 29, 2018. Below, you can find out […]