Jake Mellor (CRD #: 5785588) has been permitted to resign by FourStar Wealth Advisors. This disclosure appears on his BrokerCheck record, accessed on March 6, […]
Ian Prukner Allegedly Engaged in Unauthorized Outside Business
Feb 14, 2024
Outside Business Activities
Ian Prukner (CRD #: 5288581) was suspended by FINRA following allegations that he engaged in an unauthorized outside business. Ian Prukner was previously registered with […]
Drew Kramer Terminated by LPL Financial
Feb 9, 2024
Fired Brokers
Drew Kramer (CRD #: 4352564) has been fired by LPL Financial following allegations. This disclosure appears on his BrokerCheck record, accessed on February 9, 2024. […]
Johnathan Grasser Allegedly Engaged in an Undisclosed Outside Business
Jan 12, 2024
Outside Business Activities
Johnathan Grasser (CRD #: 6197393) has been terminated by Farmers Financial Solutions. This is according to his BrokerCheck record, accessed on January 12, 2024. Keep […]
James Dickie (CRD #: 4465359) has been suspended by FINRA following allegations of outside business. This disclosure appears on his BrokerCheck record, accessed on December […]
Gino Rahman (CRD #: 2478187), a broker registered with L.M. Kohn & Company, was fired from Merrill Lynch. This is according to his BrokerCheck record, […]
Helen Caldwell (CRD #: 1957501) has been barred by FINRA. This disclosure appears on her BrokerCheck record, accessed on September 1, 2023. Keep reading if […]
Maurice Naylon (CRD #: 831841), a previously registered broker with San Blas Securities, has entered into an Acceptance, Waiver, and Consent agreement with FINRA. This […]
Cynthia Komarek Subject of $1.6 Million Dispute Following FINRA Bar
Aug 22, 2023
Outside Business Activities
Cynthia Komarek (CRD #: 1188714), a barred broker, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on August […]
Douglas Bauerband (CRD #: 2850269) has been fired by Gradient Securities. This disclosure appears on his BrokerCheck record, accessed on August 3, 2023. Details of […]