Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell
BBB Accredited Business

Articles Tagged with Termination

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 […]

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? […]

George Schmidt (CRD#: 1082936), formerly a registered representative with Lincoln Financial Advisors Corporation (CRD#: 3978) in Melville, New York, has been terminated from his position at Lincoln Financial Advisors on November 19, 2019 after acting as a trustee for someone who was not a member of his immediate family member, according to his BrokerCheck report […]

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 […]

Contact Information