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Articles Posted in Terminated

Piero DiLorenzo (CRD#: 4670150), a former broker with NYLIFE Securities LLC (CRD#: 5167) in Melville, New York,  has been barred by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 12, 2020.  How did this bar come about? Piero DiLorenzo’s troubles began on June 18, 2019, when NYLIFE Securities LLC […]

Terry Anderson (CRD#: 2374045), formerly of First Allied Securities, Inc. of Parker, Colorado and Capital Asset Management, was terminated and is currently involved in a customer dispute, according to his BrokerCheck record accessed on April 27, 2020. What happened?  On March 17, 2020, Terry Anderson became involved in a customer dispute in which a client […]

Robert David (CRD#: 5211223), a former registered representative with Morgan Stanley (CRD#: 149777) in Farmington Hills, Michigan, was recently the subject of a customer dispute over suitability, according to his BrokerCheck record accessed on April 27, 2020. While this matter has been settled, Robert David’s BrokerCheck record lists several other pending customer complaints. On March […]

John Jaramillo (CRD#: 2659263), a former registered representative, has been terminated from his role as a broker with Western International Securities, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to John Jaramillo’s termination from Western International Securities? On March 5, 2020, the firm found that John Jaramillo sold an […]

Jonathan Greer (CRD#: 2515200), a former registered representative with Arete Wealth Management LLC (CRD#: 44856) in Baton Rouge, Louisiana, has been terminated from his role as a broker at that firm, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to Jonathan Greer’s departure from Arete Wealth Management? While Jonathan […]

Ray Thomas  (CRD#: 1675282), a former registered representative with Network 1 Financial Securities, Inc. (13577), is currently the subject of a Financial Industry Regulatory Authority (FINRA) regulatory action, according to his BrokerCheck record accessed on March 16, 2020.  On March 6, 2020, the FINRA Department of Enforcement filed a complaint against Ray Thomas, alleging that […]

Marc Winters (CRD#: 4053113), a former registered representative with Wedbush Securities, Inc. (CRD#: 877) in Los Angeles, California, has been terminated from Wedbush Securities, Inc. This comes three years after he was the subject of an SEC cease and desist order, according to Marc Winters’s BrokerCheck record accessed on March 4, 2020. On December 31, […]

Jeffrey Rahm (CRD#: 1520986), a Minneapolis-based broker, was recently terminated from his role as a broker with Stifel, Nicolaus & Company, Incorporated, according to his BrokerCheck record accessed on February 21, 2020. He was discharged from the firm following allegations that he engaged in an undisclosed outside business activity. He is currently a registered representative […]

Gautam Arora (CRD#: 5443201), formerly a registered representative with Transamerica Financial Advisors, Inc. (CRD#: 16164) in Orange, California, has been terminated from his position with Transamerica Financial Advisors, Inc., according to his BrokerCheck record accessed on January 17, 2020. Gautam Arora joined Transamerica Financial Advisors, Inc. on February 22, 2013 and was terminated on December […]

Charles Evan (CRD#: 836083), formerly a registered representative with MML Investors Services LLC (CRD#: 10409) in Wellesley, Massachusetts, was recently terminated from MML Investors Services LLC  and is currently involved in three pending customer disputes, according to his BrokerCheck record accessed on January 17, 2020. How did this all unfold? On October 28, 2019, MML […]

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