Michael Rappa (CRD#: 4799159) was a registered broker from 2004 to 2017. Most recently, Mr. Rappa was employed at Foresters Equity Services, Inc. in San[...]
Investment Loss Investigations
James Mewhinney III (CRD#: 857321) is a former registered broker and investment advisor. From 2009 to 2018, Mr. Mewhinney III was a representative of Morgan[...]
In 2018, the Securities and Exchange Commission (SEC) announced an emergency motion to halt securities offerings made by three California-based real estate investment companies. This[...]
FINRA has barred a former JP Morgan financial advisor, Bradley Curtis Williams, after an alleged check-kiting scheme. According to his BrokerCheck record, the bar follows[...]
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)[...]
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.[...]