Broker Blog

Lee Diedrich Terminated by Pruco Securities

May 23, 2022 forgery

Lee Diedrich (CRD #: 2636095), a formerly registered broker, was recently fired from Pruco Securities. This is according to her BrokerCheck record, accessed on May […]

Jayanth Hebbar Fined and Suspended by FINRA

May 23, 2022 FINRA Fine

Jayanth Hebbar (CRD #: 5244889), a suspended stock broker, allegedly broker FINRA rules. This is according to his BrokerCheck record, accessed on May 16, 2022. […]

Jack Elvestrom Allegedly Recommended Unsuitable Investments

May 23, 2022 Unsuitable Investments

Jack Elvestrom (CRD #: 1426319), a broker registered with Morgan Stanley, faced allegations that he recommended unsuitable investments. This is according to his BrokerCheck record, […]

Dyland Hales Allegedly Misled an Investor

May 23, 2022 Misrepresentation

Dylan Hales (CRD #: 6703890), a broker registered with Edward Jones, is involved in a six-figure investor dispute, according to his BrokerCheck record, accessed on […]

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 […]

Jamel Gordon Fired from James Financial Services After Alleged Outside Business Activities

May 23, 2022 Outside Business Activities

Jamel Gordon (CRD #: 5410346), a broker registered with Saxony Securities, was fired from his previous firm, according to his BrokerCheck record, accessed on May […]

Investor Alleges Veena Garg Misappropriated Assets

May 23, 2022 Misappropriation

Veena Garg (CRD #: 4469945), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was involved in a recent investor dispute, according to her […]

Investor Seeks $1 Million in Damages in Dispute with Jeffrey Shaver

May 23, 2022 Unsuitable Investments

Jeffrey Shaver (CRD #: 2675592), a former broker, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 16, 2022. He […]

Investor Alleges Joseph Ilg Did Not Act in Best Interest

May 23, 2022 Unsuitable Investments

Joseph Ilg (CRD #: 5980783), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was involved in an investor dispute, according to his BrokerCheck […]

Investor Alleges Bryant King Sold Unsuitable Variable Policy

May 20, 2022 Unsuitable Investments

Bryant King (CRD #: 6136051), a broker registered with Equitable Advisors, was involved in a recent dispute, according to his BrokerCheck record, accessed on May […]

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