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[...]
Investment Loss Investigations
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[...]
Brian Lawrence Stephan (CRD#: 4222796) is a registered broker based in Xenia, Ohio. Since December of 2017, Mr. Stephan has been employed at American Wealth[...]
According to reporting from Law360, the Securities and Exchange Commission (SEC) has filed an investment fraud lawsuit against the real estate investment company Equitybuild Inc.,[...]
Lloyd Thomas Layton (CRD#: 1618414) is a registered broker and investment advisor. Since 2015, Mr. Layton has been employed at Wells Fargo Clearing Services in[...]
In July, Edward Jones (CRD#: 250), a large brokerage firm based in St. Louis, MO, fired two of its brokers following allegations of elder financial[...]
John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[...]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[...]