November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreFebruary 2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459) a stockbroker previously employed by BCG Securities, Inc., discloses a regulatory event, a civil event, 3 customer…
read moreDecember 2018-Melville, New York According to publicly available records Ian Greenblatt (aka Eric Green) , a stockbroker who is currently registered with Capitol Securities Management Inc. disclose a recent regulatory suspension & fine…
read moreAugust 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon, against American Independent Securities Group…
read moreJune 13-Sioux Falls, S.D. Erik Nelson, director of advocacy for AARP South Dakota recently stated that many seniors who are taken advantage of react with hurt or disbelief and hesitate…
read moreApril 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…
read more