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Articles Posted in Suspended Brokers

Jason Dukas (CRD#: 4188239), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in Clearwater, Florida, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 22, 2020. What happened to lead to Jason Dukas’s suspension? Read on to learn more.  According to FINRA, Jason […]

Courtney Burn (CRD#: 4263447), a registered representative with The Investment Center, Inc. (CRD#: 17839) in Montville, New Jersey, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 17, 2020. What led to Courtney Burn’s suspension? Read on to learn more. On May 27, 2020, Courtney Burn […]

Bob Korzik (CRD#: 1013350), a former broker with Ameriprise, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 18, 2020. He was suspended for undisclosed outside business activities. What exactly happened? Read on to learn more. On October 12, 2017, Bob Korzik was terminated from Ameriprise […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full May 2020 report can be viewed here. In the most serious […]

William Wimberly (CRD#: 1157038), formerly of LPL Financial LLC (CRD#: 6413) in Jackson, Mississippi, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 1, 2020. What happened to lead to William Wimberly’s suspension? FINRA found that he engaged in undisclosed outside business activities while employed at […]

Mark Lamkin (CRD#: 2121510), a registered representative with Calton & Associates, Inc., (CRD#: 20999) in Louisville, Kentucky, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 15, 2020. What happened to lead to Mark Lamkin’s suspension? Read on to learn more.  On March 30, 2020, Mark […]

Jody Pullium (CRD#: 3272304), an Illinois-based broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) after he failed to respond to FINRA’s request for information, according to his BrokerCheck record accessed on May 5, 2020.  On February 25, 2020, Jody Pullium entered into an Acceptance, Waiver, and Consent (AWC) agreement with the Financial […]

Steven Maher (CRD#: 1011535), a registered representative with American Portfolios Financial Services, Inc. (CRD#: 18487) in Oradell, New Jersey, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 5, 2020. Why was Steven Maher suspended? Read on to find out.  On March 3, 2020, FINRA found […]

Nate Clay (CRD#: 4525541), who formerly worked as a broker for Laidlaw & Company (UK) Ltd. (CRD#: 119037), has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 27, 2020.  On March 18, 2020, Nate Clay failed to respond to FINRA’s request for information. As a result, […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full March 2020 report can be viewed here.  In the most serious […]

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