SEC Investigation

Merriah Harkins (CRD #: 2512241), a previously registered broker with Beneficent Securities, is the subject of an SEC investigation. This is according to a disclosure […]

Sarah Pais (CRD #: 5182838), a broker registered with LPL Financial, is facing an SEC investigation. This disclosure appears on her BrokerCheck record, accessed on […]

Darryl Cohen (CRD #: 2786613), a broker formerly registered with Morgan Stanley, is involved in multiple pending SEC actions and investor disputes, according to his […]

John Cucinella (CRD #: 2614279), a broker formerly registered with Meyers Associates, is the subject of a pending SEC action, according to his BrokerCheck record, […]

Alex Shtaynberger (CRD #: 2077298), a broker registered with Laidlaw & Company (UK), has been investigated by the SEC, according to his BrokerCheck record, accessed […]

Ricky Mantei (CRD #: 1098981), a broker registered with Centaurus Financial, was recently investigated by the SEC, according to his BrokerCheck record, accessed on August […]

Atul Makharia (CRD #: 5070762), a broker registered with Centaurus Financial, was the subject of an SEC investigation, according to his BrokerCheck record, accessed on […]

Robert High (CRD #: 4568165) has been barred from FINRA, according to his BrokerCheck record, accessed on June 3, 2022. If you have questions about […]

Nancy Cole (CRD #:2900724), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to her BrokerCheck […]

Thomas Swan (CRD #:1698430), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to his BrokerCheck […]