Barbara Kenerson (CRD# 1060984) is a previously registered securities broker and investment advisor (RIA). From 1999 to 2018, Ms. Kenerson was employed at Janney Montgomery[...]
Investment Loss Investigations
Michael Fassi (CRD#: 828921) is a registered broker and registered investment advisor (RIA). Since 2006, Mr. Fassi has been employed at Centaurus Financial in both[...]
Alan Appelbaum (CRD#: 500336) is a registered securities broker. Since 2015, Mr. Appelbaum has been associated with Aegis Capital Corp. at a branch office in[...]
Dana Hawkins (CRD#: 5731136) is a registered securities broker. Since 2015, Mr. Hawkins has been employed at Centaurus Financial in Lexington, South Carolina. Prior to[...]
Eduard Leytman (CRD# 3250307) is a previously registered broker. From 2010 to 2018, Mr. Leytman was registered with Aegis Capital Corp. based in New York,[...]
UPDATE (May 16, 2019) – Former Mutual of Omaha broker Ed Matthes has been barred by the Wisconsin Department of Financial Institutions. He is no[...]
Dominic Tropiano (CRD# 4761462) was a previously registered broker and investment adviser. In 2016, Mr. Tropiano worked for America Northcoast Securities based in Cleveland, Ohio.[...]
Ricky Mantei (CRD#: 1098981) is a registered broker and investment advisor. Since 2015, Mr. Mantei has been associated with Centaurus Financial in Lexington, SC. Previously,[...]
Newbridge Securities Corporation (CRD#: 104065) is a brokerage firm licensed to operate in 52 U.S. jurisdiction. In March of 2019, a Newbridge Securities customer filed[...]
Neil Maxwell has been barred from using the designation because his firm. Maxwell Wealth Planning, allegedly invested two senior clients’ funds in a “blockchain” investment[...]