Carol Ann Holesha (CRD#: 1490209) is a previously registered FINRA broker. From 2009 to 2018, Ms. Holesha was employed at LPL Financial based in Chicago,[...]
Investment Loss Investigations
INVESTOR ALERT: Did you lose money investing in James Cordier’s OptionSellers.com hedge fund? If so, please contact us now. We may be able to help[...]
Investors beware, the complexity of the Oppenheimer Steelpath MLP Income Class A fund makes it unsuitable for most investors. This fund aims to generate[...]
As of November 15, 2018, broker Terrence Puricelli was barred by Financial Industry Regulatory Authority (FINRA), as reported on his Brokercheck profile. This sanction was[...]
Charles Poulin (CRD#: 6229037) is an actively registered FINRA broker. Since July of 2014, Mr. Poulin has been employed at Aegis Capital Corp. based in[...]
Laurence Charles Greene (CRD#: 604082) is a previously registered broker. From June of 2002 to January of 2018, Mr. Green was employed at Herbert J.[...]
From 2012 to 2018, Alex Gerardo Herrera (CRD#: 3204779) served as a broker and investment advisor for UBS Financial Services in Miami-Dade County, FL. Prior[...]
Kyle Harrington (CRD#: 2282328) is a former registered broker/investment advisor. From 2012 to 2016, Mr. Harrington was employed at National Securities Corporation in San Diego,[...]
Commonwealth Financial Network (CRD#: 8032) is a registered broker-dealer based in Waltham, Massachusetts. The company is licensed to operate in 53 U.S. states and territories.[...]
Terrance S. Hood (CRD#: 4900966) is a previously registered broker and investment advisor. From 2009 to 2017, Mr. Hood was employed at Merrill Lynch in[...]