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[...]
FINRA
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[...]
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:[...]
Sebastian Jimenez (CRD#: 4427855) is a former registered broker. From 2007 to 2016, Mr. Jimenez was employed at HSBC Securities (USA) Inc. in Miami, Florida.[...]
Kimberly Pine Kitts (CRD#: 2768200) is formerly registered broker and investment advisor. According to the records on BrokerCheck, she was barred from the industry by[...]
M Holdings Securities (CRD#: 43285) is a FINRA regulated brokerage firm and investment advisory firm based in Portland, Oregon. On July 9th, 2018, FINRA censured[...]
Alex P. Anderson (CRD#: 4243107) is a former broker and investment advisor. From 2004 to 2014, Mr. Anderson was employed at Cetera Financial Specialists in[...]