Securities Arbitration Lawyers Blog

Christopher David Sinkula (CRD #2001512) is a currently registered broker and investment advisor who is currently employed with Janney Montgomery Scott LLC (CRD #463) of Stuart, FL. His previous employers include Citigroup Global Markets Inc. (CRD #7059), also of Stuart, A. G. Edwards & Sons, Inc. (CRD #4) of St.…

Back in June, we told you about Yousuf Saljooki (CRD #5045123), who was suspended by the state of Arkansas after failing to disclose an outstanding federal tax lien. This failure led to his discharge of employment by Worden Capital. He was previously discharged by SW Financial in 2017 for opening…

Would you listen if a company selling its stock asked you to reject a buyer’s offer? That’s the conundrum facing stockholders of American Finance Trust, Inc. (NASDAQ: AFIN.) This REIT was formerly not traded, and sponsored by AR Global. The company has 75% of its Class A and former Class…

The SEC recently published some guidance on variable annuities, an investment contract between an investor and an insurance company. What It Is A variable annuity is an investment account purchased from an insurance company that includes different types of insurance features. It can grow on a tax-deferred basis, and you…

Ronald Harris Rothchild (CRD #4491932) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD #7569 of Melville, NY.) His previous employers include Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner…

Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, INC. (CRD #35567) of Houston, TX. She worked for IMS since 1994, and the firm was expelled by FINRA on 9/04/2018. Previously, she worked for Retirement Investment Group (CRD…

Daniel John Flores (CRD #2908027) is a previously registered broker and investment advisor whose last employer was Woodbury Financial Services, Inc. (CRD #421) of Appleton, WI. His previous employers include Princor Financial Services Corporation (CRD #1137) of Neenah, WI, Gunnallen Financial, Inc (CRD #17609) and Sii Investments, Inc. (CRD #2225),…

Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. (CRD #8174) of Coral Gables, FL. His previous employers include HSBC Securities (USA) INC. (CRD #19585), also of Coral Gables, Atlas One Financial Group, LLC (CRD #124057) of Miami,…

Shakela Yashika Carter (CRD #4321231) is a former registered broker and investment advisor who was last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Lauderdale, FL. Before becoming licensed, she was employed with Bank of America and Capital Strategies, also of Fort Lauderdale. She started…

Cory Bataan (CRD #2755223) has been employed with Emoire Asset Management Company since April 2008. Previous employment includes Empire Asset Management Company from April 2008 to August 2012, Ameritas Investment Corp. from December 2007 to April 2008 and Joseph Stevens & Company, Inc. from October 1996 to July 2001. According…