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Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY
Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY 150 150 ER

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd.,  discloses a final regulatory matter resulting in a 3 month…

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Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY
Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY 150 150 ER

Robert Rich Investigation June 2023– Farmington, UT According to publicly available records, Robert Grant Rich, a broker previously with Wells Fargo Advisors Financial Network,  discloses a final regulatory matter resulting him…

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Christine Bourdelais-Former NY Life Securities Financial Advisor Suspended by Regulator-Norfolk, VA
Christine Bourdelais-Former NY Life Securities Financial Advisor Suspended by Regulator-Norfolk, VA 150 150 ER

Christine Bourdelais Investigation June  2023, Norfolk, VA According to publicly available records Christine Bourdelais, a former NYLife Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL
David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL 150 150 ER

David Jeffrey Morris Investigation June 2023-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company,  discloses a final regulatory matter…

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Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC
Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA
Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA 150 150 ER

Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for  J.W. Cole Financial,  discloses a final…

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Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY
Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 150 150 ER

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose 2 regulatory matters,…

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Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA
Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 150 150 ER

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities,  discloses a final regulatory matter resulting…

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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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