June 2020- Appleton, WI According to publicly available records, former Thrivent Investment Management, Inc., financial advisor Paul W. Petrillo, is barred from FINRA and discloses a settled customer dispute. The…
read moreJune 2020-New York According to publicly available records. Jacquin P. Fink (CRD#207807), a stockbroker who last worked for Merrill Lynch, discloses 10 prior customer disputes and 1 pending customer dispute.…
read moreJune 2020- Lexington, SC The FINRA records of Cindy Lucille Chiellini (CRD#1015592) , a broker with Centaurus Financial, Inc., discloses prior customer disputes and 27 pending customer disputes seeking damages of nearly $5,000,000 . The…
read moreJune 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth, has been barred from the securities industry by FINRA. He discloses 3 regulatory…
read moreApril 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) , a former stockbroker who last worked for Raymond, James & Associates, discloses a regulatory event, 3 customer…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreMarch 2020- Florham Park, NJ According to publicly available records. James D. D’Meo, (CRD#1444759), a former stockbroker who last worked for Kenneth, Jerome & Co., Inc., discloses 2 regulatory events,…
read moreApril 2020- McAllen, TX The FINRA records of Ramon Esparza , a broker previously employed by Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreApril 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…
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