The customers allege that Johnson recommended high-risk and illiquid alternative investments. William Colie Johnson (CRD#: 3174473) is registered as a broker and investment adviser with[...]
Broker / Advisor Investigations
Additionally, De Leeuw failed to respond to FINRA’s request to provide information concerning the status of compliance. Perry De Leeuw (CRD#: 4792703) was registered as[...]
Fortner has two pending customer complaints arising out of the same misconduct. Jeremy Fortner (CRD#: 4811478) was registered as a broker with Wells Fargo from[...]
Last Updated: December 3, 2021 INVESTORS: FINRA has barred Jeffrey Dampf from the securities industry after he refused to provide testimony and documents in connection[...]
FINRA initiated an investigation into New’s participation in the sale of promissory notes. Alan Harold New (CRD#: 2892508) was registered as a broker with NYLife[...]
Snyder is accused of making excessive and unauthorized trades. Barry Steven Snyder (CRD#: 2385901) was registered as a broker with Snowden Account Services from September[...]
The customer is seeking $245k in damages for Calcena’s alleged misconduct. Maria Florencia Calcena (CRD#: 6348974) is currently registered as a broker with Infinex Investments,[...]
Shillin has forty-four total disclosures on his BrokerCheck report. Michael Shillin (CRD#: 5927156) was registered as a broker of Alliance Global Partners (“AGP”) from 2018[...]
Brown has only one disclosure on his BrokerCheck report. Patrick Brown (CRD#: 6089009) was registered as a broker with Merrill Lynch from 2012 until 2020.[...]
Niekamp reportedly engaged in outside business activities without providing notice to his firm. Scott Niekamp (CRD#: 3277810) is registered as a broker and investment adviser[...]