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Articles Tagged with terminated

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 […]

Gerald Dewes, formerly a registered representative with Cadaret, Grant & Co., Inc. (CRD#:2465538), has been terminated from his position with that firm for allegedly selling away from the firm, according to his BrokerCheck record accessed on January 7, 2020. What happened for Gerald Dewes to be terminated for allegedly selling away from his member firm? […]

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 […]

On July 9, 2019, UBS Financial Services Inc. terminated Ricardo Turlan (CRD#: 4431836). UBS found that he “exercised discretion in two client accounts without written authorization” and that his “trading in other accounts reached levels that could be considered qualitatively unsuitable (ROAs between 3.0 and 9.0 for a twelve month period).” Ricardo Turlan is not […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that Texas-based Global Investor Services broker/adviser Eduardo Alaman, also known as Eduardo Alamanpandal, has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that New York-based broker/adviser Daniel Goldschmidt was recently discharged from his position at Merrill Lynch. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldschmidt (CRD# 5043278). Daniel […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Merrill Lynch broker Michael Dowd is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints […]

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