Employment Archives - Securities & Investment Lawyer

Meng Lee Resigns from Pruco Securities

Jul 6, 2022 Employment

Meng Lee (CRD #: 5755332), a former broker, resigned from her firm, according to her BrokerCheck record, accessed on June 26, 2022. Read on to […]

Michael Beebe Resigns from LPL Financial

Jun 30, 2022 Employment

Michael Beebe (CRD #: 2231851), a broker registered with LPL Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on June 22, […]

Paula Gagne Resigns from Raymond James Financial Services

Jun 21, 2022 Employment

Paula Gagne (CRD #: 1218067), a formerly registered broker, resigned from her previous firm, according to her BrokerCheck record, accessed on June 16, 2022. If […]

Ravdeep Bhasin Resigns from Principal Securities

Jun 21, 2022 Employment

Ravdeep Bhasin (CRD #: 7407441), a formerly registered broker, resigned from his firm, according to his BrokerCheck record, accessed on June 11, 2022. Read on […]

James Wagar Resigns from Thomas Capital Group

Jun 17, 2022 Employment

James Wagar (CRD #: 2654662), a former broker, was permitted to resign from his previous firm, according to his BrokerCheck record, accessed on June 9, […]

Olivia Boling Resigns from W&S Brokerage Services Following Alleged Forgery

Jun 6, 2022 Employment

Olivia Boling (CRD #: 7411700), a former broker, resigned from her firm, according to her BrokerCheck record, accessed on May 29, 2022. Keep reading if […]

Mark Giordano Resigns from Cetera Financial Specialists

Jun 6, 2022 Employment

Mark Giordano (CRD #: 4052216), a former broker, resigned from Cetera Financial Specialists, according to his BrokerCheck record, accessed on May 28, 2022. His resignation […]

Jordan Helfgott Fined By New York Securities Regulator

May 23, 2022 Employment

Jordan Helfgott (CRD #: 5982408), a broker registered with MML Investors, has been fined by a state regulator, according to his BrokerCheck record, accessed on […]

Ted Akins Resigns from Matrix 360 Distributors

May 20, 2022 Employment

Ted Akins (CRD #: 6064713), a former broker, resigned from his previous firm, according to his BrokerCheck record, accessed on May 15, 2022. Read on […]

Loretta Akins Resigns from Matrix 360 Distributors

May 20, 2022 Employment

Loretta Akins (CRD #: 5511234), a former broker, resigned from her previous firm, according to her BrokerCheck record, accessed on May 15, 2022. If you […]

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