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State Farm Stockbroker Barred In Investigation

State Farm Stockbroker Barred In Investigation

David Lance Hall of Bakersfield California a stockbroker formerly registered with State Farm VP Management Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hall avoided...

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First Allied Securities Sued For Misrepresentation

First Allied Securities Sued For Misrepresentation

Jaime Michael Westenbarger of Grand Rapids Michigan a stockbroker formerly associated with First Allied Securities Inc. is the subject of a customer initiated investment related complaint on January 21, 2020 in which the customer requested $30,636.16 in damages based...

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SEC Charges CV Brokerage Stockbroker With Fraud

SEC Charges CV Brokerage Stockbroker With Fraud

Brenda Ann Smith (also known as Brenda Smith Peterman) of West Conshohocken Pennsylvania a stockbroker and investment advisor formerly associated with CV Brokerage Inc., Broad Reach Capital LP and Bristol Advisors LLC is named in a Securities and Exchange Commission...

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State Farm Stockbroker Barred In Investigation

SagePoint Stockbroker Sanctioned For Selling Away

Frederic Thomas O’Hara (also known as Ted O’Hara) of Burnt Hills New York a stockbroker formerly registered with SagePoint Financial Inc. has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory...

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Joseph Stone Capital Accused Of Unauthorized Trading

Joseph Stone Capital Accused Of Unauthorized Trading

David Martin Martirosian of New York New York a stockbroker currently associated with Joseph Stone Capital LLC has been referenced in a customer initiated investment related complaint which was settled on December 14, 2018 for $39,077.15 in damages supported by...

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KC Ward Financial Sued By Investors For Fraud

KC Ward Financial Sued By Investors For Fraud

William Nicholas Athas of Melville New York a stockbroker formerly registered with KC Ward Financial is the subject of a customer initiated investment related arbitration claim which was resolved for $95,000.00 in damages based upon accusations that the customer was...

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FINRA Bars FCG Stockbroker In Cherry Picking Scheme

FINRA Bars FCG Stockbroker In Cherry Picking Scheme

Michael Allan Bressman of Chatham New Jersey a stockbroker formerly registered with FCG Advisors LLC has been barred from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to respond to FINRA’s request for...

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FINRA Bars Kestra Stockbroker In Investigation

James Blake Daughtry of Dothan Alabama a stockbroker formerly registered with Kestra Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed...

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Madison Avenue Securities Sued For Elder Abuse

Madison Avenue Securities Sued For Elder Abuse

Jeffrey Raymond Dixson of Vancouver Washington a stockbroker formerly registered with Madison Avenue Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages based upon allegations...

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