Mitchell Toby Yanow (CRD#: 2148171) served as a broker for Stifel Nicolaus & Company (CRD#: 793) from April 2015 to May of 2018. During this[...]
Investment Loss Investigations
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,[...]
Jerry Davis Raines (CRD#: 4578689) was a registered broker at HD Vest Investment Services from 2014 to 2017. Similarly, Donna Lynn Barnard (CRD#: 5653949) also[...]
Edward O. Daniel (CRD#: 808225) was a registered broker and investment advisor from 1975 to 2016. Most recently, Mr. Daniel was employed with Wells Fargo[...]
Benjamin S. Johnson (CRD#: 5742748) was registered as a broker with FINRA from 2010 to 2017. Most recently, Mr. Johnson was employed at J.P. Morgan[...]