Slocum is barred from associating with any FINRA member firm as of August 2020. Andrew Slocum (CRD#: 3249791) was registered as a broker with Charles[...]
Broker / Advisor Investigations
Shillin is barred from associating with any FINRA member firm as of December 2020. Michael Shillin (CRD#: 5927156) was registered as a broker Alliance Global[...]
FINRA requested information and documents relating in connection with its investigation into a registered representative who Alhadeff supervised. Joseph Alhadeff (CRD#: 2938087) was registered as[...]
The former customers are seeking over $30M in damages collectively. Jose Manuel Cornide Jr. (CRD#: 2785918) is currently registered as a broker and investment adviser[...]
The former customer is seeking over $300k in damages. Forrest Jones (CRD#: 4880765) was registered as a broker with Merrill Lynch in Conroe, Texas, from[...]
FINRA is also investigating Wagner’s alleged involvement in potential undisclosed business activity. Zachary Scott Wagner (CRD#: 6694074) was registered as a broker with OneAmerica Securities[...]
FINRA requested information and documents relating to Raskin’s discharge from Merrill Lynch in 2019. Ryan Raskin (CRD#: 5539610) was registered as a broker with Merrill[...]
The claimants are seeking over $295K collectively for Zupek’s misconduct. The Sonn Law Group is investigating allegations that David Zupek committed misconduct. If you or[...]
The client is seeking over $237K in damages for Lemay’s misconduct. The Sonn Law Group is investigating allegations that Barry Lemay made unsuitable investment recommendations.[...]
The client is seeking $200K in damages for Ecker’s misconduct. The Sonn Law Group is investigating allegations that Michael Ecker made unsuitable investment recommendations. If[...]