David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
read moreJohn Timberlake Investigation Former Carter, Terry & Co./ Suntrust Financial Advisor November 2021- Atlanta, GA According to publicly available records John H. Timberlake, a financial advisor who previously was employed by…
read moreSeptember 2021- Houston, TX According to his FINRA record Jason H. Poff , a financial advisor employed by Allstate Financial Services discloses a final regulatory investigation resulting in suspension and…
read moreAugust 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin, a stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…
read moreAugust 2021- Lisle, IL According to publicly available records, Raymond Velasco, Sr., a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…
read moreJuly 2021– Louisville, KY The FINRA records of Donald Stephen Woods, a former stockbroker who was last employed by Thurston Springer Financial , disclose a final regulatory event, 11 settled customer disputes and…
read moreNovember 2020- Pittsburg, PA According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment. The…
read moreNovember 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial, discloses a regulatory event and a termination from employment.…
read moreNovember 2020- Baton Rouge, LA According to publicly available records, former LPL Financial advisor Patrick Coogan, has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…
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