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Articles Tagged with Termination

Robin Bartolomei (CRD#: 2249156), a registered representative with CFD Investments, Inc. (CRD#: 25427) and a Registered Investment Adviser (RIA) with Creative Financial Designs, Inc. (CRD#: 109032) in Rochester, Michigan, is currently involved in a pending investor dispute over suitability, according to their BrokerCheck record accessed on July 20, 2020. What happened to lead to this […]

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 […]

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 […]

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 […]

On December 4, 2019, the Securities and Exchange Commission (SEC) charged Lester “Chad” Burroughs (CRD#: 1413972), with defrauding investors of $560,000. Chad Burroughs is a former registered representative and investment advisor representative of Lincoln Investment Planning LLC, as well as a former investment adviser representative of Capital Analysts LLC. The SEC alleges that Chad Burroughs […]

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