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 …
MICHAEL BARRY Has A Pending Investor Complaint – May Recover Investor Losses
MICHAEL BARRY Has A Pending Investor Complaint – May Recover Investor Losses STIFEL, NICOLAUS & COMPANY, INCORPORATED broker, MICHAEL BARRY Has A Pending Investor Complaint. MICHAEL OWEN BARRY CRD#: 2690041 MICHAEL OWEN BARRY (CRD#: 2690041), a broker with STIFEL, NICOLAUS & COMPANY, INCORPORATED in NEW ORLEANS, LA, has a pending investor complaint. According to BARRY’s FINRA BrokerCheck report, Claimant alleges Violation of …
JACK DRAPACZ Terminated After PAULSON INVESTMENT COMPANY LLC Allegations – May Recover Investor Losses
JACK DRAPACZ Terminated After PAULSON INVESTMENT COMPANY LLC Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses JACK DRAPACZ Terminated After PAULSON INVESTMENT COMPANY LLC Allegations. Drapacz is now a registered representative of DEVELOPMENT CORPORATION FOR ISRAEL out of Boca Raton, FL. JACK WAYNE DRAPACZ CRD#: 3109596 JACK WAYNE DRAPACZ (CRD#: 3109596), a former broker for PAULSON INVESTMENT COMPANY …