April 2021- Boca Raton, FL The FINRA records of Adam C. Goodman , a registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. , disclose 2 pending customer…
read moreOctober 2020- Red Bank, NJ According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with Laidlaw & Company, discloses a regulatory event. The Financial Industry Regulatory Authority…
read moreApril 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) , a former stockbroker who last worked for Raymond, James & Associates, discloses a regulatory event, 3 customer…
read moreJanuary 2020 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreFebruary 2019- Port Charlotte, FL According to publicly available records Marc Allen Miller II (CRD#4521825) , a stockbroker registered with Raymond James & Associates, disclose a pending customer dispute. The Financial Industry Regulatory Authority…
read moreDecember 2018-Pacific Grove, CA According to publicly available records Jon R. Pariser , a former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services, disclose…
read moreFebruary 2019- St. Louis, MO The FINRA records of Sean Aaron Brady , a former stock broker who is not currently registered and who was last employed by First Allied Securities , disclose that he was recently…
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