• ER

Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA
Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA 150 150 ER

August 2021- Tacoma, WA According to publicly available records,  Gary L. Wells,  a currently suspended financial advisor who previously was employed by American Wealth Management, Inc.  and Wells Fargo, discloses a…

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  • ER

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA
Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

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  • ER

Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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  • Robert Rex, Esq.

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX
Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Robert Rex, Esq.

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN
Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN 150 150 ER

August 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien,  a financial advisor who is not currently registered, but was last employed by Feltl & Company, …

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Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA
Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA 150 150 ER

August 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone ,  a currently unregistered  financial advisor who was last employed by NYLife Securities,  discloses a regulatory event, …

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Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY
Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA
Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA 150 150 ER

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser,  a financial advisor currenlty employed by Cabot Lodge Securities,  discloses a regulatory event, a bankruptcy and a…

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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL
Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 150 150 ER

August 2021 – Tampa, FL  According to publicly available records , Clyde Anthony Jensen, a former broker  with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

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Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI
Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI 150 150 ER

Carl Gill Investigation August 2022- Troy, MI According to publicly recorded records, Carl Damien Gill,  a financial advisor who was last employed by United Planners Financial Services of America,  discloses…

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