A National Securities Arbitration & Investment Fraud Law Firm
Kwame Adusei (CRD#: 6166926) is a former broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Poughkeepsie, NY. His previous employers were J.P. Morgan Securities LLC (CRD#:79) of Brewster, NY, and Wells Fargo Advisors, LLC (CRD#:19616) of Chappaqua, NY. He has been in the industry since 2013. A customer…
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kwame Adusei Morgan Stanley J.P. Morgan Securities LLC Kevin Arvoy D.A. Davidson & Co. Raymond James…
According to FINRA Disciplinary actions for April 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Vinessa Christian UBS…
According to FINRA Disciplinary actions for March 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gabriela Alfaro Charles…
According to FINRA Disciplinary actions for March 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for March 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Timothy Breslin B. Riley Wealth Management Raymond James & Associates, Inc. Robin Johnson aka Robin Runco…
John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo,…
Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047)…
According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and…