Juergen Weber (CRD#: 2617323) is a previously registered broker and investment advisor. From 2011 to 2018, Mr. Weber was employed at Benjamin & Jerold Brokerage[...]
Investment Loss Investigations
Vicente Castillo (CRD#: 1163483) is actively registered with FINRA as an investment broker. Since 1994, Mr. Castillo has been employed at UBS Financial Services Incorporated[...]
Charles Lewis Bloom (CRD#:4144108) is a previously registered investment broker. From 2016 to 2018, Mr. Bloom was employed at Chelsea Financial Services in Royal Palm[...]
Justin Giannillo (CRD#: 3014283) was registered as a FINRA broker from 2001 to 2015. Most recently, Mr. Giannillo was a representative of Joseph Gunnar &[...]
FINRA reported in August 2018 that it barred a total of 21 brokers and advisors from working in the securities industry in June 2018. Below[...]
Steven Knuttila (CRD#: 3039112) is a former registered FINRA broker and investment advisor. From 2012 to 2017, Mr. Knuttila was a representative of Capital Financial[...]
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Greenville, South Carolina-based brokerage firm Sandlapper Securities, LLC (CRD#: 137906), as well as two[...]
The Financial Industry Regulatory Authority (FINRA) Department of Enforcement has filed a complaint (No. 2015047303901) against Linda C. Milberger (CRD No. 4939206) and Kyle Harrington[...]
Gordon Cloutier Jr. (CRD#: 2817022) is a former securities broker and investment advisor. From 2009 to 2016, Mr. Cloutier Jr. was a representative of Wells[...]
Aaron Parthemer (CRD#: 2546369) is a previously registered broker. From 2009 to 2011, Mr. Parthemer worked for Morgan Stanley. From 2011 to 2015, Mr. Parthemer[...]