Susan Walker (CRD#: 1823041) is a former FINRA broker. From 2008 to 2013, Ms. Walker was a representative of Ameriprise Financial Services based out of[...]
Investment Loss Investigations
John Schmidt (CRD#: 708094) is a former broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial Network[...]
Lincoln Investment (CRD#: 519) is a large broker-dealer based in Fort Washington, Pennsylvania. With more than 1,500 registered representatives spread across 420 branch offices, the[...]
Mitchell Toby Yanow (CRD#: 2148171) served as a broker for Stifel Nicolaus & Company (CRD#: 793) from April 2015 to May of 2018. During this[...]
Alejandro Falla (CRD#: 5064828) served as the chief executive and head trader at BAC Florida Investments Corp. in Coral Gables, Florida. In 2016, FINRA suspended[...]
Jeffery Joseph Kelly (CRD#: 3223982) worked as a securities broker at Ameriprise Financial Services in Getzville, New York from 2006 to 2017. Late last year,[...]
Luke A. Eddy (CRD#: 6364037) was employed as a securities broker at Merrill Lynch in Worcester, Massachusetts from 2014 to 2017. In May of 2017,[...]
Richard S. Hughes (CRD#: 1537720) was registered as a broker for more than 30 years. Most recently, Mr. Hughes worked at Summit Brokerage Services in[...]
Timothy Ayre (CRD#: 2091556) was a registered securities broker for more than 25 years. Most recently, Mr. Ayre was employed at Four Points Capital Partners[...]
On September 7th, 2018, the Securities and Exchange Commission (SEC) charged Emil Botvinnik (CRD#: 4359481) and Jovannie Aquino (CRD#: 4876661) with securities fraud. The charges,[...]