Criminal Charges

Vianne Chen (CRD #: 6832893) has been charged with conspiracy to commit bank fraud. This disclosure appears on her BrokerCheck record, accessed on September 12, […]

Kyle Nixon (CRD #: 7785655), a broker registered with Raymond James & Associates, is facing a criminal charge. This disclosure appears on his BrokerCheck record, […]

Joe Gutierrez (CRD #: 5527598), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of pending criminal charges. This disclosure appears […]

Terry Armstrong (CRD #: 4762752) a previously registered broker with J.W. Cole Financial, has new criminal charges on their BrokerCheck record, accessed on September 5, […]

Jonathan Willingham (CRD #: 6943614), a broker registered with Edward Jones, has a pending criminal charge, according to his BrokerCheck record, accessed on March 13, […]

Elizabeth Swan (CRD #: 5877152), a broker registered with Charles Schwab & Company, has a pending criminal charge, according to her BrokerCheck record, accessed on […]

Alexander Goodstein (CRD #: 6081205), a broker registered with Wells Fargo Clearing Services, is the subject of pending grand larceny charges, according to his BrokerCheck […]

Kyle Hill (CRD #: 4250662), a broker formerly registered with Purshe Kaplan Sterling Investments is facing criminal charges, according to his BrokerCheck Record accessed on November 17, 2017.   Criminal Charge Details  Kyle […]

David Rockwell (CRD #: 4236377), a barred broker previously registered with Cetera Advisor Networks, has new pending regulatory actions and investor disputes, according to his […]

Joseph Gebron (CRD #: 2764264), a broker registered with SW Financial, is facing investor disputes as well as a pending criminal charge, according to his […]