FINRA, the Financial Industry Regulatory Authority, has barred Paul Pitsironis (CRD#: 2804907), from the securities industry for allegedly stealing from a customer, according to his BrokerCheck report accessed on September 12, 2019. All three of the disclosures on Paul Pitsironis’s BrokerCheck record stem from the allegation that he stole $411,000 from a client’s account while […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

The Securities and Exchange Commission (SEC) has charged former LPL Financial broker Kerry Hoffman (CRD#: 1061740) with securities fraud. He allegedly sold unregistered securities of GT Media, Inc. according to the SEC’s press release and his BrokerCheck record accessed on September 5, 2019. On July 1, 2019, the SEC charged Kerry Hoffman with securities fraud, […]

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Lawrence Brazie (CRD# 857097), a registered representative with Westminster Financial Securities, Inc. in Dayton, Ohio, is currently involved in a customer dispute, filed on June 25, 2019, in which a client alleges “unsuitable investments, negligent hiring, failure to supervise, misrepresentations and omissions, and breach of purported settlement agreement,” according to his BrokerCheck record. The claimant […]

Timothy E. Johnson  (CRD#: 5701828) was terminated from MML Investors Services, LLC in Lawrenceville, Georgia “in connection with an investigation into the registered representative’s diversion of customer funds for his own use” according to his BrokerCheck report accessed on September 3, 2019. When you invest with a broker, you expect that your portfolio will be […]

Jason K. Williams (CRD#: 4676003) was permitted to resign from Thurston Springer Financial on February 8, 2019 after he made unauthorized comments in an online forum regarding “a stock held in his own account and in the accounts of his clients,” according to his BrokerCheck report accessed on September 3, 2019. His recent resignation is […]

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

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