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Articles Tagged with terminated

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, […]

David Melilli (CRD#: 5254172) has been terminated from his role as a broker at Cambridge Investment Research, Inc., according to his BrokerCheck record accessed on February 20, 2020. Cambridge Investment Research discharged David Melilli on January 23, 2020 after the firm found that he placed discretionary trades without proper authorization. What is unauthorized trading? Unauthorized […]

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 […]

Tony Puente (CRD#: 2695224), a former registered representative with Valic Financial Advisors, Inc. (CRD#: 42803), has been barred from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Tony Puente’s permanent bar from the securities industry? As part of […]

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 […]

Brian Radoo (CRD#: 2558458), a former registered representative, has been terminated from Next Financial Group, Inc., according to his BrokerCheck record accessed on January 20, 2020. What happened? Next Financial Group, Inc. found that Brian Radoo participated in outside business activities without requesting and receiving the firm’s prior approval. As a result, the firm terminated […]

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 […]

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