Late last week, Financial Industry Regulatory Authority (FINRA) barred Elizabeth Marie Garcia (CRD # 6385917) from the financial industry. In a letter of acceptance, waiver,[…]
Broker/Advisor Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
Bhenoy “Ben” Dembla (CRD#: 4357042) is a former broker and investment advisor. From 2001 to 2016, Mr. Dembla was a representative of Merrill Lynch in[…]
Kitwana Thomas (CRD#: 5539984) was a broker and investment advisor at Fidelity Brokerage Services in Jacksonville, Florida (2012 to 2017). In 2017, Mr. Thomas resigned[…]
Andrew Manuel Garcia (CRD No. 6715172) is a former registered financial advisor. In 2017, Mr. Garcia was a representative at Charles Schwab in Indianapolis, Indiana.[…]
As of January 30, 2019, after almost 50 years in the investment industry, Michael Cowan ( CRD# 55587) is no longer registered as a broker.[…]
Ronald Rothchild (CRD#: 4491932) is a registered broker and investment advisor. Since August of 2017, Mr. Rothchild has been employed at National Securities Corporation in[…]
Samuel Monchick (CRD#: 4113886) is a registered broker and investment advisor. Since 2008, Mr. Monchick has been a representative of Geneos Wealth Management (CRD#: 120894).[…]
Wesley Clinton (CRD#: 4628274) is an actively registered broker based in Seaford, New York. Since 2012, Mr. Clinton has been a representative of Network 1[…]
On January 25th, 2019, the Securities and Exchange Commission (SEC) filed financial misconduct charges against Phillip Michael Carter, two other co-defendants (Bobby Eugene Guess and Richard Tilford),[…]
Eric Paxton Neidermeyer (CRD# 1680870), a financial advisor since 1987, is an industry veteran. Since October of 2011, the broker has been registered with Wells[…]