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[...]
Investment Loss Investigations
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[...]
Kitwana Thomas (CRD#: 5539984) was a broker and investment advisor at Fidelity Brokerage Services in Jacksonville, Florida (2012 to 2017). In 2017, Mr. Thomas resigned[...]
Andrew Manuel Garcia (CRD No. 6715172) is a former registered financial advisor. In 2017, Mr. Garcia was a representative at Charles Schwab in Indianapolis, Indiana.[...]
As of January 30, 2019, after almost 50 years in the investment industry, Michael Cowan ( CRD# 55587) is no longer registered as a broker.[...]
Ronald Rothchild (CRD#: 4491932) is a registered broker and investment advisor. Since August of 2017, Mr. Rothchild has been employed at National Securities Corporation in[...]
Samuel Monchick (CRD#: 4113886) is a registered broker and investment advisor. Since 2008, Mr. Monchick has been a representative of Geneos Wealth Management (CRD#: 120894).[...]
Wesley Clinton (CRD#: 4628274) is an actively registered broker based in Seaford, New York. Since 2012, Mr. Clinton has been a representative of Network 1[...]