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Articles Tagged with awc

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 […]

Kevin Nevin (CRD#: 2460059), a registered representative with Dempsey Lord Smith LLC (CRD#: 141238) in Edina, Minnesota, is currently involved in one pending dispute over suitability, according to his BrokerCheck record accessed on April 22, 2020.  On March 30, 2020, a customer filed a complaint against Kevin Nevin, alleging that he made unsuitable investments. The […]

Pete Monson (CRD#: 2203309), a broker with Van Clemens & Co. (CRD#:6914) in Minneapolis, Minnesota, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 1, 2020.  How did this come about? On February 4, 2020, Pete Monson consented to FINRA’s findings that he engaged in unsuitable […]

Glen Webster (CRD#: 4839854), formerly a registered representative with IFS Securities (CRD#: 40375) in Atlanta, Georgia, has been suspended from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 16, 2020. On December 19, 2019, Glen Webster entered into an Acceptance, Waiver, and Consent (AWC) with […]

Eddie Shechter (CRD#: 2772177), a registered representative with Spencer-Winston Securities Corporation (CRD#: 8300) in Jersey City, New Jersey, has been suspended by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on January 16, 2020. What allegedly happened to lead to Eddie Shechter’s suspension from the securities industry? On November 17, 2019, […]

Jefferey Dyra (CRD#: 6785909), formerly a registered representative with Bankers Life Securities, Inc. (CRD#: 173962) in Naperville, Illinois, has been barred from the securities industry, according to his BrokerCheck record accessed on December 19, 2019. What happened? On November 29, 2019, Dyra consented to the entry of findings that he refused to provide requested documents […]

Marty Batstone (CRD#: 2171601), formerly a registered representative with Newbridge Securities Corporation (CRD#: 104065) in San Diego, California, is currently under investigation by FINRA. On August 16, 2019, the Financial Industry Regulatory Authority, recommended that disciplinary action be brought against him. FINRA alleges that Marty Batstone violated FINRA Rules 2150 and 2010 by allegedly stealing […]

After former registered representative Mike Carter (CRD#: 3232017) twice refused to furnish requested documents relating to theft allegations, FINRA barred him from the securities industry, according to Mike Carter’s BrokerCheck report accessed on September 16, 2019. He entered into an Acceptance, Waiver, and Consent (AWC) consenting to the sanctions. Leading up to the bar, FINRA […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

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