September 2021- Jackson Gap, AL According to publicly available records John Westbrook, a currently unregistered broker who previously was employed by Center Street Securities, discloses a regulatory event, a pending…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreAugust 2021 – Houston, Texas According to a press release from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…
read moreAugust 2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered and who was last employed by Moloney Securities, Co., Inc. ,…
read moreNovember 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) , financial advisor Mark Lewton Hopkins, has been barred from the securities industry by…
read moreNovember 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a stockbroker with Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…
read moreOctober 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow , a broker previously employed by Forest Securities, Inc. , disclose a regulatory event resulting in his bar from the securities industry, two pending customer…
read moreSeptember 2019- Williamsville, NY According to publicly available records Michael Giokas (CRD# 1398674) , a former stockbroker who was last employed by Fortune Financial Services, Inc., disclose 2 prior regulatory events, a…
read moreSeptember 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…
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