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Centaurus Financial Broker, Kenneth Finnell, Has Tax Liens
The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Centaurus Financial broker/adviser Kenneth Finnell...
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Michael Marchassalla Named in FINRA Investigation
The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Oppenheimer broker Michael Marchassalla (CRD# 1338199)....
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Faroud Farhoumand: Complaints and Tax Liens
The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints with Indiana-based Next Financial Group broker/adviser Faroud Farhoumand (CRD#...
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Ronald Robertson Has Tax Lien
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2016 indicate that Missouri-based PFS Investments broker/adviser Ronald Robertson has been the...
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Danny Chancellor Has Regulatory Sanction
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that Mississippi-based First Allied Securities broker William Chancellor, also known...
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Mark Gaskill Has Customer Complaints and Regulatory Sanction
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that MKG Financial Group broker/adviser Mark Gaskill has received customer...
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Faroud “Fred” Farhoumand Has Four Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 10, 2016 indicate that Indiana-based Next Financial Group broker/adviser Faroud “Fred” Farhoumand has...
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Stephen Hurtuk Has Unsatisfied Tax Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Ohio-based Stifel Nicolaus broker/adviser Stephen Hurtuk is the subject of a...
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Timothy Dufresne Permanently Barred from Securities Industry
Public available records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne, who has...
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Robert Cenko Has Numerous Outstanding Liens
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based LPL Financial broker/adviser Robert Cenko is currently...
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David Ross Discharged Following Outside Business Activity Allegations
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Tennessee-based Woodbury Financial Services broker David Ross is...
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Scott Aabel Sanctioned by the State of Florida
Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based Investors Capital broker/adviser Scott Aabel has been the subject of several...
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Jonathan Greer, formerly of Arete Wealth Management, Terminated Following...
Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm,...
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Kinan Nimeh Involved in Client Allegations of Over-Concentration Following...
Kinan Nimeh, or Kenan Nimeh (CRD #: 4438900), is a broker registered with Garden State Securities, Inc. In his 18 years of experience, he has accumulated 12 disclosures on his broker record. His latest...
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