MOTAZ ASHRI Terminated After MORGAN STANLEY SMITH BARNEY Allegations – Goodman & Nekvasil, P.A. MOTAZ ASHRI Terminated After MORGAN STANLEY SMITH BARNEY Allegations. Ashri was terminated related to details of the representative’s reporting of an outside private securities investment, according to allegations from Ashri’s former broker dealer. MOTAZ ASHRI (CRD#: 8018725), a former broker for MORGAN STANLEY SMITH BARNEY in …
Markus Byrd Has Two Pending Investor Complaints – May Recover Investor Losses
Markus Byrd Has Two Pending Investor Complaints – May Recover Investor Losses Former KESTRA INVESTMENT SERVICES, LLC broker, Markus Byrd Has Two Pending Investor Complaints. Both pending complainants are alleging unsuitable recommendations. MARKUS GRACEN BYRD CRD#: 2177376 MARKUS GRACEN BYRD (CRD#: 2177376), a former broker with KESTRA INVESTMENT SERVICES, LLC in Dallas, TX, has two pending investor complaints. According to …
Reid Rasner Terminated After LPL FINANCIAL CORPORATION Allegations – Goodman & Nekvasil, P.A.
Reid Rasner Terminated After LPL FINANCIAL CORPORATION Allegations – Goodman & Nekvasil, P.A. Reid Rasner Terminated After LPL FINANCIAL CORPORATION Allegations. Rasner was terminated after the firm alleged that the broker engaged in unapproved outside business activity. Reid W. Rasner (CRD#: 6887076), a former broker for LPL FINANCIAL CORPORATION in CASPER, WY was terminated after employer allegations. LPL FINANCIAL CORPORATION alleged …
DEBORAH STACKPOLE Has A Pending Investor Complaint – May Recover Investor Losses
DEBORAH STACKPOLE Has A Pending Investor Complaint – May Recover Investor Losses STONECREST CAPITAL MARKETS, INC. broker, DEBORAH STACKPOLE Has A Pending Investor Complaint. DEBORAH ANN STACKPOLE DEBORAH BROWN, DEBORAH NMN STACKPOLE, DEBORAH STACKPOLE CRD#: 4969850 DEBORAH ANN STACKPOLE (CRD#: 4969850), a broker with STONECREST CAPITAL MARKETS, INC. in Austin, TX, has a pending investor complaint. According to Stackpole’s FINRA …
Peter Roberts Has A Pending Investor Complaint – May Recover Investor Losses
Peter Roberts Has A Pending Investor Complaint – May Recover Investor Losses WEALTHFORGE SECURITIES, LLC broker, Peter Roberts Has A Pending Investor Complaint. Peter James Roberts Peter Roberts CRD#: 6982848 Peter James Roberts (CRD#: 6982848), a broker with WEALTHFORGE SECURITIES, LLC in Richmond, VA, has a pending investor complaint. According to Robert’s FINRA BrokerCheck report, From investment activity in August …
Kevin Sierzant Terminated After MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Allegations – Goodman & Nekvasil, P.A.
Kevin Sierzant Terminated After MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Allegations – Goodman & Nekvasil, P.A. Kevin Sierzant Terminated After MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Allegations. Sierzant was terminated after the firm alleged conduct inconsistent with Firm standards regarding selling away, timely disclosure of outside business activities, and electronic business communications. Kevin Joseph Sierzant (CRD#: 7223312), a former …
SUNNY SHUAI WANG – CAMBRIDGE INVESTMENT RESEARCH, INC. Broker Suspended by FINRA – May Recover Investor Losses
SUNNY SHUAI WANG – CAMBRIDGE INVESTMENT RESEARCH, INC. Broker Suspended by FINRA – May Recover Investor Losses SUNNY SHUAI WANG – CAMBRIDGE INVESTMENT RESEARCH, INC. Broker Suspended by FINRA. SHUAI WANG SUNNY SHUAI WANG, SUNNY WANG, SWI WANG CRD#: 4725754 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. SUNNY WANG (CRD#: 4725754), a …
WILLIAM LEFKOWITZ Terminated After B. RILEY WEALTH MANAGEMENT Allegations – Goodman & Nekvasil, P.A.
WILLIAM LEFKOWITZ Terminated After B. RILEY WEALTH MANAGEMENT Allegations – Goodman & Nekvasil, P.A. WILLIAM LEFKOWITZ Terminated After B. RILEY WEALTH MANAGEMENT Allegations. Lefkowitz was terminated after he allegedly failed to report a customer complaint to his member firm. WILLIAM MITCHELL LEFKOWITZ (CRD#: 1170503), a former broker for B. RILEY WEALTH MANAGEMENT in NEW YORK, NY, was terminated after employer allegations. …
James Olsen Terminated After LPL FINANCIAL LLC Allegations – Goodman & Nekvasil, P.A.
James Olsen Terminated After LPL FINANCIAL LLC Allegations – Goodman & Nekvasil, P.A. James Olsen Terminated After LPL FINANCIAL LLC Allegations. Olsen is now a registered representative of ARKADIOS CAPITAL out of Gretna, LA. James William Olsen is also a LEGACY INVESTMENT STRATEGIES, LLC registered investment adviser. JAMES WILLIAM OLSEN (CRD#: 857594), a former broker for LPL FINANCIAL LLC in …
PAUL LEE Pending Investor Complaints – May Recover Investor Losses
PAUL LEE Pending Investor Complaints – May Recover Investor Losses KINGSWOOD CAPITAL PARTNERS, LLC broker, PAUL LEE Pending Investor Complaints. PAUL SANGYOP LEE PAUL S LEE, PAUL SANGYOP CRD#: 5541067 PAUL SANGYOP LEE (CRD#: 5541067), a broker with KINGSWOOD CAPITAL PARTNERS, LLC in Fullerton, CA, has pending investor complaints. According to Lee’s FINRA BrokerCheck report, the most recent Claimant alleges …