Investors possibly experienced losses because of securities broker Tamara Ann Glenn (also known as Tamara Ann Dawson, Tamara Ann Gallegos, and Tamara Haselby) [CRD: 4324857, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tamara Glenn worked for LPL Financial LLC from June 13, 2023, to January 25, 2024; Sigma Financial Corporation from January 21, 2022, to June 14, 2023; Securian Financial Services Inc. from September 6, 2018, to January 24, 2022; Fifth Third Securities Inc. from September 20, 2017, to August 30, 2018; and Infinex Investments Inc. from July 1, 2016, to September 12, 2017. Read below for additional information about Tamara Glenn’s disclosures.
Particularly, on January 5, 2024, an Essex National Securities LLC client filed FINRA Arbitration No. 23-03243 about Tamara Glenn. Supposedly, Glenn made unsuitable recommendations regarding an alternative investment in HTI. Because of this, the client allegedly sustained damages. Therefore, the client requested $35,000 in compensation from Essex National Securities LLC or Tamara Glenn. Evidently, this arbitration is pending a resolution.
Also, a client of Essex National Securities LLC contested Tamara Glenn’s sales practices by filing FINRA Arbitration No. 23-02798 on October 10, 2023. Allegedly, Glenn gave unsuitable advice. It appears that Glenn caused the client to sustain damages on real estate securities. As a result, the client seeks compensation from Essex National Securities LLC or Glenn in the amount of $50,000 in this ongoing matter.
Particularly, on February 3, 2022, an Essex National Securities LLC client filed a complaint about Tamara Glenn. Supposedly, Glenn made unsuitable recommendations. Because of this, the client allegedly sustained damages on REITs. Therefore, the client requested $30,000 in compensation from Essex National Securities LLC or Glenn. The firm denied this complaint.
In addition, a client of Infinex Investments Inc. contested Tamara Glenn’s sales practices by filing FINRA Arbitration: No. 19-00669. Allegedly, Glenn sold unsuitable real estate investment trusts. So, Infinex Investments Inc. opted to settle the matter on April 23, 2019, by compensating the client in the amount of $5,000.
Have you experienced losses because of any sales practice violation by financial advisor / securities broker Tamara Glenn? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Glenn and the brokerage firms Glenn worked for deny accusations of sales practice violations.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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