Ejiro Ode Okuma, a former Equitable Advisors and Edward Jones broker, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Okuma is not currently registered as a broker. His BrokerCheck report lists 2 regulatory events, 1 civil event, 1 customer dispute, and 1 termination disclosure. Official sources: [...]
Sam Bhushan, also known as Sameer Bhushan, is a former Cabin Securities broker who is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Bhushan is not currently registered as a broker. His BrokerCheck report lists 10 customer dispute disclosures, including 9 pending customer disputes and 1 [...]
Sonn Law Group is monitoring several recent FINRA BrokerCheck disclosures involving brokers and financial professionals connected to customer disputes over hedge funds, structured notes, exchange-traded notes, DSTs, private placements, variable annuities, and other alternative investment products. The matters summarized below are based on publicly available FINRA BrokerCheck reports. The allegations reported in BrokerCheck are allegations [...]
Stephen Pavey Meskan, a Cabot Lodge Securities broker and CL Wealth Management investment adviser representative, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Meskan is currently registered with Cabot Lodge Securities LLC and CL Wealth Management LLC. His BrokerCheck report lists 4 customer dispute disclosures, 1 [...]
William Shyan Chan, a Citigroup Global Markets broker, is the subject of customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Chan is currently registered with Citigroup Global Markets Inc. His BrokerCheck report lists 2 customer dispute disclosures, including 1 pending customer dispute and 1 final or denied customer dispute. (FINRA [...]
Carmen Dean Morrone, a Realta Equities broker, is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Morrone is currently registered with Realta Equities, Inc. His BrokerCheck report lists 4 customer dispute disclosures, including 3 pending customer disputes and 1 final or denied customer dispute. (FINRA BrokerCheck: [...]
Roger Allan Roemmich, a former Alexander Capital broker, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Roemmich is not currently registered as a broker. His BrokerCheck report lists 1 regulatory event, 6 customer dispute disclosures, 2 termination disclosures, and 1 judgment/lien disclosure. The report also lists [...]
Markus Gracen Byrd, a former Kestra Investment Services broker, is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Byrd is not currently registered as a broker. His BrokerCheck report lists 7 customer dispute disclosures, including 2 pending customer disputes and 5 final or closed customer disputes. [...]
Robert Lybbert, a former Edward Jones broker, is the subject of multiple customer dispute disclosures reported on his FINRA BrokerCheck profile. According to FINRA BrokerCheck, Lybbert is not currently registered as a broker. His BrokerCheck report lists 10 customer dispute disclosures, including 5 pending customer disputes and 5 final or closed customer disputes. (FINRA BrokerCheck: [...]
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