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 […]
Brody Bray Subject of Outside Business Allegations and FINRA Suspension
Aug 3, 2023
FINRA Suspension
Brody Bray (CRD #: 4727529), a broker previously registered with American Portfolios Financial, is facing a FINRA suspension following allegations regarding his outside business activities. […]
Wray Rodgers Barred by FINRA
Aug 3, 2023
Barred Broker
Wray Rodgers (CRD #: 2842993), a broker previously registered with Vining-Sparks IBG, has been barred by FINRA, according to his BrokerCheck record, accessed on June […]
Sean Pong (CRD #: 2406530), a broker previously registered with US Bancorp Investments, has been barred by FINRA, according to his BrokerCheck record, accessed July […]
Aju Lekwauwa Fired from SA Stone Wealth Management for Alleged Undisclosed Outside Business
May 16, 2023
Outside Business Activities
Aju Lekwauwa (CRD #: 4267677), a broker formerly registered with SA Stone Wealth Management, allegedly failed to disclose an outside business activity, according to their […]
Jin Zhu Resigns from Morgan Stanley Following Alleged Undisclosed OBAs
Apr 19, 2023
Outside Business Activities
Jin Zhu (CRD #: 6527492), a broker formerly registered with Morgan Stanely, recently resigned from that firm, according to their BrokerCheck record, accessed on April […]