Category: Selling Away
Were you the victim of former Pruco Securities, LLC broker Julian Piekarczyk (CRD# 1128773)? Piekarczyk was registered with Pruco Securities, LLC in Joliet, Illinois from 1991 to 2018, when he was terminated regarding, “Registered Representative maintained joint control of a … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Michael Mountjoy (CRD# 4421573) who was recently fined and suspended by FINRA. Mountjoy was registered with LPL Financial LLC in Louisville, Kentucky from 2010 to 2018, when he was terminated … Continue reading
Former Merrill Lynch broker Christopher Roumayeh (CRD# 4510051) was suspended for 21 months following a FINRA investigation regarding his engagement in outside business activities (selling away). Roumayeh has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Bloomfield … Continue reading
Erez Law is currently investigating former The Tavenner Company broker Dean Mings (CRD# 1197212) regarding investment losses. Mings was registered with The Tavenner Company in Springfield, Ohio from 2002 to 2018, when he was terminated regarding “RR violated firm policy … Continue reading
Former LPL Financial LLC broker Jason Labelle (CRD# 5654529) was suspended by FINRA for selling away from his member firm. Jason Labelle has been registered with LPL Financial LLC in Pittsfield, Massachusetts from 2015 to 2019. In January 2020, Labelle … Continue reading
Former Valic Financial Advisors, Inc. broker Antonio Puente (CRD# 2695224) is barred by FINRA for selling away. Puente was registered with Valic Financial Advisors, Inc. in Miami, Florida from 1999 to 2018, when he was terminated regarding, “Registration terminated following … Continue reading
Were you the victim of former Principal Securities, Inc. broker John Krohn (CRD# 2722975)? Krohn has been registered with Principal Securities, Inc. in West Des Moines, Iowa from 1996 to 2017. Krohn is accused of selling away, which is the … Continue reading
Were you the victim of former Cadaret, Grant & Co., Inc. broker Gerald Dewes (CRD# 2465538) who is accused of unsuitable investment recommendations? He has been registered with Cadaret, Grant & Co., Inc. in East Amherst, New York from 2014 … Continue reading
Did you lose money investing with former J.P. Morgan Securities LLC broker John Torres (CRD# 6322231)? Torres was registered with J.P. Morgan Securities LLC in Woodland Hills, California from 2014 to 2018, when he was terminated regarding, “Terminated by affiliate … Continue reading
Former Summit Equities, Inc. broker Thomas Stappas (CRD# 855198) was barred by FINRA for selling away. Stappas was registered with Summit Equities, Inc. in Parsippany, New Jersey from 1993 to 2018, when he was terminated regarding, “Engaging in an outside … Continue reading