FINRA alleged that Tarjanyi falsified documents and forged customer signatures. Ryan Owen Tarjanyi (CRD#: 6065805) was registered as a broker with Trustmont Financial Group from[...]
Broker / Advisor Investigations
FINRA was attempting to investigate the allegations leading to Couture’s termination. James Kenneth Couture (CRD#: 4406284) was registered as a broker with LPL Financial from[...]
The client also alleges misrepresentation and failure to supervise. Robyn Simons (CRD#: 1538638) was registered as a broker with Berthel, Fisher & Company from 2006[...]
Hammond is also accused of providing false information on a firm compliance questionnaire. Gary Hammond (CRD#: 2660432) was registered as a broker Hornor, Townsend &[...]
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[...]
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[...]