Articles Posted in Selling away

Gary Hammond (Gary Wayne Hammond CRD# 2660432) is a previously registered broker and investment advisor who last worked for Hornor, Townsend & Kent, Inc. and MML Investors Services, LLC in Charlotte, North Carolina for brief periods in 2017, but spent the bulk of his career registered with MSI Financial Services,…

Tyler Delahunt (Tyler Dean Delahunt CRD#: 4419594) is a formerly registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Atlanta, Georgia. His previous employers include PFS Investments Inc. (CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. (CRD#:6694) of…

Michael Anthony Tavel (CRD# 4862463) was recently suspended from acting as a broker by the Financial Industry Regulatory Authority. Tavel was registered with broker-dealer LPL Financial LLC from 2004-2019, operating out of Indianapolis, Indiana. Tavel was also providing investment advice through Charter Advisory Corporation, an SEC-registered Investment Adviser, as well…

Sumitro Pal (CRD# 4763364) is a former registered broker and investment advisor whose last known employer was Morgan Stanley (CRD#:149777) of Bethesda, MD, where he was registered from 2009-2018. Pal has worked in the securities industry since 2004. Currently, Pal is the subject of four pending customer disputes, filed between…

Nicholas Palumbo (Nicholas R Palumbo CRD:# 1069948, aka “Nicholas Richard Palumbo” And “Nick Palumbo”) is a previously registered broker and investment advisor whose last known employer was Park Avenue Securities LLC (CRD#:46173) of Armonk, NY. His previous employers include Guardian Investor Services Corporation (CRD#:6635 of New York, New York, SMA…

John Krohn (John Michael Krohn CRD#:2722975) is a former registered broker and investment advisor whose last known employer was Principal Securities, Inc. (CRD#:1137) of West Des Moines, IA. He has been in the industry since 1996, when he began at the firm. Krohn is the subject of three client disputes…

Bill Hightower (William Andrew “Bill” Hightower CRD#: 2152369) is a former registered broker and investment advisor whose last known employer was Legacy Asset Securities, Inc. (CRD#:47644) of Houston, TX. His previous employers include UBS Financial Services Inc. (CRD#:8174) and RBC Dain Rauscher Inc. (CRD#:31194), also of Houston, and A. G.…

Pratul Agnihotri (CRD#: 4031797, aka “Victor Agnihotri”) is a previously registered broker whose last known employer was SW Financial (CRD#:145012) of Melville, NY. His previous employers included Spartan Capital Securities, LLC (CRD#:146251) of New York, NY, Aegis Capital Corp. (CRD#:15007) of Melville, NY, and Gunnallen Financial, Inc (CRD#:17609) of New…

Narinder Singh (Narinder Kaur Singh CRD:# 3100308, aka “Narinder Dutt”) is a previously registered broker whose last known employer was Farmers Financial Solutions, LLC (CRD#:103863) of Sacramento, CA. Her previous employers include Proequities, Inc. (CRD#:15708), Transamerica Financial Advisors, Inc (CRD#:16164) and Oneamerica Securities, Inc. (CRD#:4173), all of Elk Grove, CA.…

Jesse Kovacs (Jesse Todd Kovacs CRD# 5047161) is a currently suspended broker who last worked for PTS Brokerage, LLC in their Forked River, New Jersey branch office. Kovacs was suspended for participating in a private securities transaction (selling away) without giving advance written notice to his firm. Jesse Kovacs Disclosures…