John William Spach (CRD#: 2731192) is a former registered securities broker. From 2014 to 2018, Mr. Spach was employed at Kestra Investment Services (CRD#: 42046)[...]
Investment Loss Investigations
Katrina Ann Barrett (CRD#: 5297739) is a registered broker and investment advisor. Since 2009, Ms. Barrett has been a representative of Geneos Wealth Management, based[...]
A FINRA investigation started in 2017 reached a resolution on December 31, 2018. The decision bared and imposed sanctions on a former broker, Kyle Patrick[...]
A former Carson Wealth Management, LLC (CWM) client has brought a $500,000 suit against the firm and its top man, Ron Carson (CRD# 1238219), for[...]
Leonard Allen Mcabee (CRD#: 2066347) is a former FINRA broker. He first started working in the securities industry in 1990. Most recently, Mr. Mcabee was[...]
A FINRA disciplinary proceeding, signed on the 15th of February, has affirmed broker Michael Royce Minghenelli (CRD # 6067409) converted funds from his member firm.[...]
Last week, FINRA barred a former Morgan Stanley Wealth Management Advisor, for alleged non-disclosure of a power of attorney appointment and a gift he accepted[...]
Late last week, investment industry regulator FINRA barred Floyd Powell (CRD#: 2220029). Powell allegedly sold close to $3.5 million in promissory notes related to the[...]
Late last week, Financial Industry Regulatory Authority (FINRA) barred Elizabeth Marie Garcia (CRD # 6385917) from the financial industry. In a letter of acceptance, waiver,[...]
Bhenoy “Ben” Dembla (CRD#: 4357042) is a former broker and investment advisor. From 2001 to 2016, Mr. Dembla was a representative of Merrill Lynch in[...]