Lyhen Fiallo, a stockbroker registered with PFS Investments, also known as Primerica, in Hialeah, Florida,…
Hugo Hernandez, a stockbroker formerly registered with MML Investors Services, also known as MassMutual was…
Justin Parker, of Itasca, Illinois, a stockbroker and financial advisor registered with Ameriprise Financial Services…
Joseph O’Shea, a former stockbroker with associated with Spartan Capital Securities was sanctioned and permanently…
Derek Stamos, of Portland, a stockbroker associated with Somerset Securities, Inc., has been named in…
Doug Dulac, of Carmel, Maine, a stockbroker associated with United Planners’ Financial Services of America,…
Robert Lloyd Annable, of Scottsdale, a stockbroker registered with Realta Equities Inc. is the subject…
Rudy Anguiano, of Red Bank, New Jersey, a stockbroker formerly associated with LPL Financial was…
Wendy Che, of San Mateo, California a stockbroker associated with Emerson Equity LLC is the…
David LaGrange, of Winterset, Iowa, a stockbroker formerly registered with Moloney Securities is the subject…
Tory Duggins, a stockbroker formerly associated with Spartan Capital Securities was barred by FINRA for…
Richard James Jirinec, of Jupiter, Florida, a stockbroker registered with PHX Financial, also known as…
Sean Vappie, of New Orleans, Louisiana, stockbroker formerly associated with J.P. Morgan Securities is the…
Brett Frum of Tarpon Springs, Florida, a stockbroker associated with KCD Financial Inc., is the…
Mahoud Elawadi, of Orlando Florida, a stockbroker formerly registered with Wells Fargo Clearing Services is…
Christopher G. Rogers of Englewood, Colorado, a stockbroker registered with Emerson Equity LLC is the…
Michael Roger Pineda, of Denver Colorado, a stockbroker registered with Lifemark Securities Corp, is the…
Bradley Owen Davidson, of Mission Viejo, California, a stockbroker formerly registered with Wealthforge Securities LLC,…
Independence Capital Co., Inc., a securities broker-dealer located in Parma, Ohio, was sanctioned an ordered…
Dustin Allen Smith, of Naples, Florida, a stockbroker formerly registered with RBC Capital Markets is…
Igor Harlap, also know as Gary Harlap, of Philadelphia Pennsylvania, a stockbroker registered with UBS…
Ryan Arnold, of Lake Mary, Florida, a stockbroker or financial advisor registered with LPL Financial…
James Thomas Chapman, of Homewood, Alabama, a stockbroker formerly associated with Equitable Advisors LLC is…
Douglas J. McCauley, of Arlington, Virginia, a stockbroker formerly associated with Madison Avenue Securities was…
Amit Jonathan Urban, of Ann Arbor, Michigan, a stockbroker associated with Concorde Investment Services is…
Why This Matters to You If you’re investing your hard-earned money, you deserve to know…
About 40 broker-dealers sold close to $1.8 billion in GWG Holdings Class L bonds, and…
Alan Bartlett Harrison (also known as Bart Harrison), of Trussville, Alabama, a stockbroker registered with…
Brett Allen Rutherford, of Morehead City, North Carolina, a stockbroker previously registered with Capital Investment…
Brittani Corren Schaefer (also known as Brittani Corren Cooper), of St. Louis, Missouri, a stockbroker…
Christopher Taylor Harpin, of Essex, Connecticut, a stockbroker registered with Lincoln Financial Securities Corporation (now…
Dan Edward Wagner Jr., of Greenville, South Carolina, a stockbroker registered with Triad Advisors LLC,…
David Francis La Grange (also known as David Francis LaGrange), of Winterset, Iowa, a stockbroker…
Duncan Gerard MacEachern, of Royal Oak, Michigan, a stockbroker registered with Centaurus Financial Inc., is…
George Edward Hovany, of Vernon Hills, Illinois, a stockbroker registered with Wintrust Investments, is the…
George Mauae Purdy, of Tulsa, Oklahoma, a stockbroker registered with Cetera Investment Services LLC, was…
Glenn Allen Donnell, of Crystal River, Florida, a stockbroker registered with Securities America Inc., has…
Jason Keith Norton, of Carrollton, Georgia, a stockbroker registered with LPL Financial LLC, is the…
Joseph Adam Eisler, of New York, New York, a stockbroker registered with Morgan Stanley, has…
Kelly Ray Moore, of Houston, Texas, a stockbroker formerly affiliated with Cambridge Investment Research Inc.,…
Mary Beth Fisher Spuhler (also known as Mary Beth Fisher), of Camp Hill, Pennsylvania, a…
Michael Il Yoon, of Los Angeles, California, a stockbroker registered with MML Investors Services LLC,…
Michael William Risko, of Hyde Park, New York, a stockbroker registered with Infinex Investments Inc.,…
Muhammad Rehmatullah Wahdy, of San Francisco, California, a stockbroker formerly registered with Merrill Lynch Pierce…
Norman Hugh Meyer, of St. Louis, Missouri, a stockbroker registered with Vestech Securities Inc., is…
Paul Richard McGonigle, of New Bedford, Massachusetts, a stockbroker formerly registered with LPL Financial LLC,…
Peter Frederick Reinecke, of Saint Louis, Missouri, a stockbroker registered with Saxony Securities Inc., is…
Richard Joseph Perlongo, based in New York and registered with Spartan Capital Securities LLC, has…
Robert Lee Anderson III, of Hiawassee, Georgia, a stockbroker registered with Raymond James Financial Services…
Sean Francis Mostero, of Torrance, California, a stockbroker previously registered with LPL Financial LLC, has…
