A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for January 2025, 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 Sebastian Bongiovanni Spartan…
According to FINRA Disciplinary actions for January 2025, 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 Michael Barrows M Stevens Securities, LLC Kingswood Capital Partners, LLC Eric Ludovico M Stevens Securities, LLC…
According to FINRA Disciplinary actions for January 2025, 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…
Michael Edwin Magruder (CRD# 4579211) is a previously registered broker and investment advisor, last employed with Raymond James & Associates, Inc. (CRD# 705) of Orlando, FL. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Destin, FL, Wells Fargo Advisors, LLC (CRD#:19616) of Southlake, TX, and Raymond…
According to FINRA Disciplinary actions for December 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 Akshita Bhatia Glenn…
According to FINRA Disciplinary actions for December 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 December, 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 Silvio Borrero MML Investors Services, LLC Oppenheimer & Co, Inc. Sevag Haddadian Wells Fargo Clearing Services,…
San Diego, CA-based Independent Financial Group, LLC has been fined and censured by the SEC after the firm failed to establish and follow a supervisory system for supervising the firm’s brokers when handling customer accounts. This failure occurred between July 2020 and December 2022 and included noncompliance with Registration Best…
Robert Thompson (Robert Kennedy Thompson CRD# 1975407, aka, “Bob Thompson”) is a previously registered broker and currently registered investment advisor with Concourse Financial Group Securities, Inc. (CRD# 15708) of Palos Hills, IL. His previous employers include The Concord Equity Group, LLC (CRD# 14569) of Iselin, NJ, Emissary Financial Group, Inc.…
Richard Mireles (Richard Randy Mireles CRD# 5288651) is a currently registered broker and investment advisor with Independent Financial Group, LLC (CRD# 7717) of San Diego, CA. He was previously registered with Western Financial Advisors (CRD# 35098), also of San Diego. He has been in the industry since 2007. In the…