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Category:
Terminated-Discharged Brokers
Notice to Customers of Broker Ron Filoramo Who Suffered Investment Losses at Morgan Stanley: Contact KlaymanToskes
January 18, 2024
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Mitchell Wurtsmith: Terminated From Merrill Lynch
October 09, 2023
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David Gibbs Terminated From MML Investors Services
October 09, 2023
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Clayton Shum Customers: Recover Your Investment Losses
October 02, 2023
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Keliikai Castillo Terminated From UnionBanc Investment Services
September 25, 2023
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Daniel Snodgrass Terminated From BCG Securities
August 17, 2023
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Jeffrey Venuto Terminated From Farmers Financial Solutions
August 17, 2023
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Douglas Bauerband Terminated From Gradient Securities For Alleged Firm Policy Violations
August 14, 2023
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Nicholas Stovall of Gradient Advisors: $350k Investor Complaint
August 09, 2023
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Joseph Todd of Centaurus Financial Suspended by FINRA
June 26, 2023
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Juan Ventura Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
June 07, 2023
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Andrew Busch Terminated From Thrivent Investment Management
June 07, 2023
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Ethan Baker Terminated From Fidelity Brokerage Services
June 07, 2023
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Valerie Duarte Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
June 07, 2023
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Mark Ferrer Terminated From Raymond James Financial Services For Alleged Firm Policy Violations
June 06, 2023
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Omid Kamali Terminated From JPMorgan Chase Bank For Alleged Outside Business Activities
June 06, 2023
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Laurie Licciardi Terminated From Oppenheimer & Co. For Alleged Misconduct
June 06, 2023
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Chelsea Polhemus Terminated From Fidelity Brokerage Services
June 06, 2023
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Matteo Invernizzi Terminated From Union Capital Group (UCAP Securities) For Alleged Firm Policy Violations
June 06, 2023
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Julio Martinez Terminated From Union Capital Group (UCAP Securities) For Alleged Firm Policy Violations
June 06, 2023
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Diana Egudin Terminated From Union Capital Group (UCAP Securities) For Alleged Firm Policy Violations
June 06, 2023
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Thomas Kuchta Terminated From Goldman Sachs & Co.
June 06, 2023
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David Jang Terminated From Edward Jones For Alleged Firm Policy Violations
June 06, 2023
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Robert Starnes Terminated From SA Stone Wealth Management For Alleged Firm Policy Violations
May 30, 2023
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Roy Williams Terminated From Stifel, Nicolaus & Co. For Client Loan Misrepresentations
May 30, 2023
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Randall Skrabonja Terminated From Green Vista Capital for Alleged Selling Away
May 30, 2023
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William McArdle Terminated From State Farm VP Management Corp. for Alleged Firm Policy Violations
May 30, 2023
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James Warring Terminated From DAI Securities for $4.5M Customer Complaint-Related Allegations
May 30, 2023
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Andrew Dollman Terminated From Commonwealth Financial Services for Alleged Firm Policy Violations
May 26, 2023
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Trombakesh Kar Terminated From JPMorgan Chase Bank for Alleged Firm Policy Violations
May 25, 2023
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Christina Peterman Terminated From Truist Investment Services For Alleged Unauthorized Transactions
May 25, 2023
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Michael Beard Terminated From Edward Jones For Alleged Conflicts of Interest
May 25, 2023
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Trevor Reger Terminated From State Farm VP Management Corp.
May 25, 2023
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Kevin Greene Terminated From PFS Investments for Alleged Firm Policy Violations
May 25, 2023
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Jack Castle Terminated From JPMorgan Chase Bank for Alleged Firm Policy Violations
May 25, 2023
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Alexander Pappas Terminated From JPMorgan Chase Bank
May 25, 2023
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Joseph Listorti Terminated From Huntington Investment Company
May 25, 2023
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Corey McInnis Terminated From JPMorgan Chase Bank
May 25, 2023
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Megan Howard Terminated From Robert W. Baird & Co. For Alleged Firm Policy Violations
May 25, 2023
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Dennis King Jr. Terminated From Fidelity Brokerage Services
May 25, 2023
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Jake Grant Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
May 19, 2023
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Hector Negrete Terminated From Transamerica Financial Advisors
May 19, 2023
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Benjamin Amato Terminated From Trustmont Financial Group For Compliance Violations
May 19, 2023
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Jake Nimlos Terminated From Mutual of Omaha Investor Services
May 19, 2023
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Nicholas Field Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
May 19, 2023
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Christopher Moreno Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
May 19, 2023
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Rajen Duggal Terminated From Paulson Investment Company For Undisclosed Outside Business Activities
May 19, 2023
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Aaron Harrison Terminated From Ameriprise Financial For Alleged Firm Policy Violations
May 19, 2023
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Jason Pepe Terminated From Truist Investment Services For Alleged Firm Policy Violations
May 19, 2023
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Hong Anh Mcgill Terminated From Truist Investment Services For Alleged Firm Policy Violations
May 19, 2023
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Liam Soper Terminated From Fidelity Brokerage Services
May 19, 2023
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Richard Goldston Terminated From Edward Jones For Alleged Firm Policy Violations
May 19, 2023
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Michael Hodges Terminated From Wells Fargo Securities For Allegedly Fraudulent Requests to Fund A Customer Account
May 19, 2023
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John O’Brien Terminated From Fifth Third Securities For Alleged Firm Policy Violations
May 18, 2023
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Melissa Pieters Terminated From Parkland Securities For Firm Policy Violations
May 18, 2023
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James Cvetkovic Terminated From Stifel, Nicolaus & Co. For Alleged Unauthorized Trading
May 18, 2023
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Stephen McNeill Terminated From Morningstar Investment Services For Alleged Firm Policy Violations
May 18, 2023
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Stephen Jones Terminated From Equitable Advisors For Alleged Firm Policy Violations
May 18, 2023
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Steven Blanchard Terminated From Raymond James Financial Services For Alleged Firm Policy Violations
May 17, 2023
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Billy Stanage Jr. Terminated From Commonwealth Financial Network For Undisclosed Outside Business Activities
May 17, 2023
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Kevin Toohey Jr. Terminated From Fidelity Brokerage Services
May 17, 2023
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Peter Glowacki Terminated From RBC Capital Markets For Alleged Firm Policy Violations
May 17, 2023
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Gregory Corrie Terminated From Cambridge Investment Research For Excessive Use of UIT Investment Products
May 17, 2023
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William Gardner Terminated From Edward Jones For Selling Away
May 17, 2023
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Ross Berman Terminated From Merrill Lynch For Client-Related Misconduct
May 17, 2023
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Alex Motts Terminated From JPMorgan Chase Bank For Alleged Firm Policy Violations
May 17, 2023
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Joshua Ugaste Terminated From First Command Brokerage Services For Allegedly Selling Securities Without Proper Licenses
May 17, 2023
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Joseph Peduzzi Terminated From Morgan Stanley For Alleged Unauthorized Trading
May 17, 2023
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Lily Phu Dai Terminated From Wells Fargo Clearing Services For Alleged Firm Policy Violations
May 17, 2023
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Edward Munoz Terminated From LPL Financial For Alleged Unapproved Messaging With Customers
May 17, 2023
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Michael Trethewey Terminated From Wells Fargo Clearing Services For An Outside Investment Without Approval
May 17, 2023
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Michael Danjczek Terminated From Brighter Financial Capital Management For Undisclosed Outside Business Activities
May 17, 2023
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Valentina Hepler Terminated From PFS Investments For Misconduct
May 17, 2023
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Recent Blogs
Broker Misconduct Investigation: Gus Tsamos (Spartan Capital Securities)
December 12, 2024
LifeMark Securities Censured by SEC for Selling Risky GWG L Bonds
December 14, 2024
Ex-Edward Jones Broker Penalized for Reg BI Violation
December 13, 2024
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