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[...]
Investment Loss Investigations
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[...]
On January 25th, 2019, the Securities and Exchange Commission (SEC) filed financial misconduct charges against Phillip Michael Carter, two other co-defendants (Bobby Eugene Guess and Richard Tilford),[...]
Eric Paxton Neidermeyer (CRD# 1680870), a financial advisor since 1987, is an industry veteran. Since October of 2011, the broker has been registered with Wells[...]
On January 23, FINRA barred Kristian Gaudet (CRD #4190811) from practicing as a broker or associating with a broker-dealer firm. Gaudet was formerly with Ameritas[...]
The Financial Industry Regulatory Authority (FINRA) created and maintains BrokerCheck, a website at BrokerCheck.com that records complaints against Finanical Adivsors. William A Shopoff, CRD No[...]