Samuel Heavrin (CRD #: 6996924), a broker formerly registered with J.P Morgan Securities, has voluntarily resigned. This employment separation appears on his BrokerCheck record, as […]
Hector Hernandez Resigned from Money Concepts Following Allegations
Feb 16, 2022
Outside Business Activities
Hector Hernandez (CRD #: 4654126), a broker registered with Peak Brokerage Services, has voluntarily resigned from Money Concepts, according to his BrokerCheck record, accessed on […]
Edward Marion (CRD #: 5562377), a broker registered with Private Client Services, has been fired by LPL Financial. This disclosure appears on his BrokerCheck record […]
Todd Mercer Resigns from Merrill Lynch, Embroiled in Selling Away Allegations
Feb 16, 2022
Outside Business Activities
Todd Mercer (CRD #: 2270311), a broker registered with Sanctuary Securities, has voluntarily resigned from Merrill Lynch, Pierce Fenner & Smith. This is according to […]
Khalil Watts (CRD #: 7214340), a former broker registered with J.P. Morgan Securities, has been terminated by his firm. This is according to his BrokerCheck […]
Element Pointe Advisors Fires Daniel Rodriguez Following Outside Business Allegations
Feb 8, 2022
Fired Brokers
Daniel Rodriguez (CRD #:4720502) was recently fired by Element Pointe Advisors, according to his Brokercheck Record, accessed on January 15, 2022. Read on for more […]
Minh Vo (CRD #: 5114922), a broker formerly registered with Cambridge Investment Research, is the subject of a FINRA suspension, according to his BrokerCheck record, accessed […]
William Fochi (CRD #: 1773450), a broker and investment advisor registered with Cantella & Co., is the subject of a FINRA suspension, according to his BrokerCheck record, accessed on December 7, […]
FINRA Bars Paul Furusho for Allegedly Failing to Respond to FINRA Investigation
Dec 20, 2021
Outside Business Activities
Paul Furusho (CRD #: 2165709), a broker formerly registered with APW Capital, was recently barred for allegedly failing to respond to FINRA requests for information, according to […]
Jeremy Burk (CRD #:5586674), a former registered broker, has been fired from his position at Allstate Financial Services, according to his BrokerCheck record, accessed on November 17, […]