Michael Dennis Jackson (CRD#: 2784958) is a former broker and financial advisor. From 2009 to 2017, Mr. Jackson was a representative of Securities America. During[...]
Investment Loss Investigations
Jorge A. Reyes (CRD#: 4256834) is a former registered securities broker. From 2010 to 2017, Mr. Reyes was employed at CP Capital Securities in Miami,[...]
Nancy Kimball Mellon (CRD#: 1253484) is a formerly registered broker and investment advisor. Mellon worked with Wells Fargo Advisors from 2012-2017. She was fired by[...]
Innovation Partners LLC (CRD#:146344) is a brokerage and investment advisor firm in Charlotte, NC. A recent FINRA regulatory decision alleges the firm continued to allow[...]
Samuel Frederik Lek (CDR#: 1642936) has been a broker with Lek Securities Corp. since 1993. According to a November 26, 2018 FINRA regulatory decision, Lek[...]
Ronald R. Blasczyk (CRD#: 3065429) is a registered broker and investment advisor with Wells Fargo Clearing Services, LLC. Blasczyk is under investigation by FINRA, for[...]
Nina Jessee (CRD#: 1484808), previously employed at Cetera Advisors, LLC (Cetera) is no longer a registered broker or investment advisor. In November of 2017, she[...]
George Puliafico (CRD#: 1158596) has been a broker registered with Raymond James Financial Services, Inc, in Walpole, MA since 1999. Puliafico’s CRD shows a pending[...]
Robert Ginsberg (CRD#: 5177531) is a registered broker and investment advisor with Woodbury Financial Services, Inc. (Woodbury) in Wallingford, CT. Ginsberg has been with Woodbury[...]
As of November 26, the Financial Industry Regulatory Authority, Inc (FINRA) has barred Frank Dietrich from acting as a broker or associating with broker-dealer firms.[...]