Butler is accused of negligence and erroneous trading, among other forms of misconduct. Kevin Anthony Butler (CRD#:1138534) is registered as a broker and investment adviser[...]
Lindberg is accused of breach of fiduciary duty and fraud, among other forms of misconduct. Jon Peter Lindberg (CRD#:1085475) was registered as a broker with[...]
Beasley was previously suspended for 7 months by FINRA. Marcus Angelo Beasley (CRD#:3157595) was registered as a broker with Supreme Alliance LLC from September 2019[...]
Komischke is accused of recommending unsuitable investments. Xiao Qin Komischke (CRD#: 5076489) is registered as a broker and investment adviser with Cetera Investment Services, where[...]
The complaint also alleges that Reda made unauthorized trades in customers’ accounts. Marc Augustus Reda (CRD#: 2757330) is registered as a broker with Spartan Capital[...]
Doyle was censured for allegedly using discretionary power without a client’s written authorization. Kevin Carey Doyle (CRD#: 2102345) was registered as a broker with Raymond[...]
Failla was suspended by the New Jersey Bureau of Securities earlier this year. Roy Joseph Failla (CRD#: 2786551) is registered as a broker with Arive[...]
Rahn was also the subject of a regulatory judgment entered by the State of Washington Securities Division. Scott Robert Rahn (CRD#: 1959522) was registered as[...]
FINRA was investigating whether Kleydman engaged in private securities transactions without providing written notice. Edgar Kleydman (CRD#: 2727571) was registered as a broker with MML[...]
Worden is also facing ten pending customer disputes. Jamie John Worden (CRD#: 4637404) was registered as a broker with Worden Capital Management from 2009 until[...]