If you’re considering filing a complaint against your financial advisor it’s important that you have a clear understanding of the general process. As a registered[…]
FINRA
Brian Lawrence Stephan (CRD#: 4222796) is a registered broker based in Xenia, Ohio. Since December of 2017, Mr. Stephan has been employed at American Wealth[…]
Lloyd Thomas Layton (CRD#: 1618414) is a registered broker and investment advisor. Since 2015, Mr. Layton has been employed at Wells Fargo Clearing Services in[…]
In July, Edward Jones (CRD#: 250), a large brokerage firm based in St. Louis, MO, fired two of its brokers following allegations of elder financial[…]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[…]
Patrick Jermaine Phillips (CRD#: 4315963) was previously registered as a broker and investment advisor. In 2016, Mr. Phillips was employed at MSI Financial Services in[…]
John Schmidt (CRD#: 708094) is a previously registered broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial[…]
Jerry Raines (CRD#: 4578689) was previously registered as a FINRA broker. From August of 2014 to May of 2017, Mr. Raines was employed as a[…]
Andrew Corbman (CRD#: 2513558) is a former registered broker and registered investment advisor (RIA). From 2015 to 2016, Mr. Corbman was employed at Newbridge Securities[…]
On July 19th, a FINRA arbitration panel in Portland, Oregon awarded Sammy Kaye Duncan and his partner Sylvia Duncan $8.7 million in compensation (Case Number:[…]