Barred Broker Archives - Securities & Investment Lawyer

Richard Crabtree Barred by SEC

Nov 17, 2022 Barred Broker

Richard Crabtree (CRD #: 1855649), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, has been barred by the SEC, according to his […]

Edward Von Der Schmidt Barred by FINRA

Nov 15, 2022 Barred Broker

Edward Von Der Schmidt (CRD #: 5735379), a broker formerly registered with Morgan Stanley & Company, has been barred by FINRA, according to his BrokerCheck […]

Joseph Pratt Barred by FINRA

Nov 15, 2022 Barred Broker

Joseph Pratt (CRD #: 719416), a broker registered with Stifel, Nicolaus & Company, has been suspended and barred by FINRA, according to his BrokerCheck record, […]

FINRA Bars Ernest Frerking for Alleged Refusal to Provide Testimony

Nov 15, 2022 Barred Broker

Ernest Frerking (CRD #: 2588177), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, has been barred by FINRA, according to his BrokerCheck […]

FINRA Bars Haleh Farshi Following Fraud Charge

Nov 15, 2022 Barred Broker

Haleh Farshi (CRD #: 4661462), a broker registered with Lincoln Financial Advisors, has been barred by FINRA, according to her BrokerCheck record, accessed on October […]

SEC Bars Richard Robertson Following Alleged “Cherry-Picking” Scheme

Nov 15, 2022 Barred Broker

Richard Robertson (CRD #: 2233786), a broker formerly registered with Triad Advisors, has been barred by the SEC, according to his BrokerCheck record, accessed on […]

FINRA Bars Annetta Box For Alleged Refusal to Provide Information

Nov 11, 2022 Barred Broker

Annetta Box (CRD #: 6475567), a broker formerly registered with Cambridge Investment Research, has been barred by FINRA, according to her BrokerCheck record, accessed on […]

FINRA Bars Patrick English Following Alleged Failure to Provide Testimony

Nov 11, 2022 Barred Broker

Patrick English (CRD #: 5189025), a broker formerly registered with Comerica Securities, has been barred by FINRA, according to his BrokerCheck record, accessed on October […]

Scott Brander Barred by SEC Following Civil Judgment

Nov 9, 2022 Barred Broker

Scott Brander (CRD #: 2300933), a broker formerly registered with Buckman, Buckman & Reid, has been barred by the SEC, according to his BrokerCheck record, […]

Alan Appelbaum Barred by FINRA, Subject of Pending SEC Complaint

Oct 24, 2022 Barred Broker

Alan Appelbaum (CRD #: 500336), a broker formerly registered with Aegis Capital Corporation, has been barred by FINRA, according to his BrokerCheck record, accessed on […]