SHAWN O’CONNELL – Barred by FINRA FINRA barred Shawn O’Connell. SHAWN MICHAEL O’CONNELL SHAWN MICHAEL OCONNELL CRD#: 4007788 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Shawn Michael O’Connell (CRD#: 4007788), a formerly registered broker for MORGAN STANLEY, in Toms River, New Jersey, has been barred from the securities industry. Goodman & Nekvasil, P.A., is …
Louis No – Barred by FINRA
Louis No – Barred by FINRA FINRA barred Louis No. Louis No CRD#: 6541585 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Louis No (CRD#: 6541585), a formerly registered broker for NYLIFE SECURITIES LLC, in Fairport, New York, has been barred from the securities industry. Goodman & Nekvasil, P.A., is investigating brokers who may have …
HECTOR ROBERT NEGRETE – Barred by FINRA
HECTOR ROBERT NEGRETE – Barred by FINRA FINRA barred HECTOR ROBERT NEGRETE HECTOR ROBERT NEGRETE CRD#: 4718683 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Hector Negrete (CRD#: 4718683), a formerly registered broker for TRANSAMERICA FINANCIAL ADVISORS, Inc, in Stockton, California, has been barred from the securities industry. Goodman & Nekvasil, P.A., is investigating brokers …
Daniel Zachariah Ditch – Barred by FINRA
Daniel Zachariah Ditch – Barred by FINRA FINRA barred Daniel Zachariah Ditch Daniel Zachariah Ditch CRD#: 7099200 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Daniel Ditch (CRD#: 7099200), a formerly registered broker for PFS INVESTMENTS INC., in Austin, Texas, has been barred from the securities industry. Goodman & Nekvasil, P.A., is investigating brokers who …
Stewart Ginn – FINRA Complaint Alleges Customer Losses of 2.22 Million
Stewart Ginn – FINRA Complaint Alleges Customer Losses of 2.22 Million Ginn is named in FINRA complaint alleging losses of 2.22 million. STEWART GINN STEWART TAYLOR, PAXTON GINN JR. CRD#: 4503197 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. STEWART GINN (CRD#: 4503197), a formerly registered broker for INDEPENDENT FINANCIAL GROUP, LLC, in Santa Maria, …
John Sullivan – Named in FINRA Complaint
John Sullivan – Named in FINRA Complaint Former Broker John Sullivan – Named in FINRA Complaint JOHN DAVID SULLIVAN JOHN SULLIVAN CRD#: 2926996 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. John David Sullivan (CRD#: 2926996), a formerly registered broker with INTERNATIONAL ASSETS ADVISORY, LLC., in Columbia, Maryland, is the subject of a FINRA complaint. …
Peter Fetherston – Customers Settle Complaint
Peter Fetherston – Customers Settle Complaint Former Broker Peter Fetherston – Customers Settle Complaint PETER JAMES FETHERSTON PETER J FETHERSTON CRD#: 2108610 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Peter James Fetherston (CRD#: 2108610), a formerly registered broker with AEGIS CAPITAL CORP., in Melville, New York, has a settled customer complaint. According to FINRA, …
Arni Diamond – Suspended by FINRA after Multiple Customer Complaints
Arni Diamond – Suspended by FINRA after Multiple Customer Complaints Former Broker Arni Diamond – Suspended by FINRA Arni Jay Diamond Arni Jat Diamond CRD#: 2667392 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Arni Jay Diamond (CRD#: 2667392), is a formerly registered broker with SUPREME ALLIANCE LLC, in Charlotte, North Carolina has been suspended …
Salvatore Gambino – Suspended by FINRA for Unsuitable Recommendations
Salvatore Gambino – Suspended by FINRA for Unsuitable Recommendations Former Broker Salvatore Gambino – Suspended by FINRA SALVATORE GAMBINO CRD#: 2846054 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Salvatore Gambino (CRD#: 2788300), is a formerly registered broker with AEGIS CAPITAL CORP., in Mellville, New York, has been suspended by FINRA. Gambino consented to the …
Todd Lesk – Goodman & Nekvasil, P.A., May Recover Investor Losses
Todd Lesk – Goodman & Nekvasil, P.A., May Recover Investor Losses Former Broker, Todd Lesk has an investor complaint. Todd Michael Lesk CRD#: 2788300 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Todd Michael Lesk (CRD#: 2788300), a formerly registered broker for Cambridge Investment Research, Inc., has an investor complaint. According to Lesk’s FINRA BrokerCheck report, …