Articles Posted in Stockbroker Misconduct

Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West…

Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush…

We’ve often blogged about how brokers and investment advisors don’t always do business in a client’s best interest. In many cases, it’s the broker’s best interest that comes first, and the client pays the price. First Republic Bank’s compensation system for its brokers—called “wealth managers” in their Form ADV brochure—offered…

Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been…

Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. His other employers were Parkland Securities, LLC (CRD#:115368), Sagepoint Financial, Inc. (CRD#:133763), and H.D. Vest Investment Services (CRD#13686), also of Lebanon. He…

David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America…

According to FINRA Disciplinary actions for April 2023, 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   William Casper…

According to FINRA Disciplinary actions for April 2023, 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   Christine Bourdelais   NYLife Securities LLC   Thomas Buck   RBC Capital Markets, LLC  …

According to FINRA Disciplinary actions for April 2023, 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 2023, 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…