Broker Blog

John Benet (CRD #:18006), a broker formerly registered with AXA advisors, is involved in his first investor dispute, according to his BrokerCheck record, accessed on November 22, […]

Manuel Pinazo (CRD #: 5398494), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been barred by FINRA, according to his BrokerCheck record, accessed on November 22, 2021.   […]

Efrain Trujillo (CRD #: 3106482) has been fired from his position at Western International Securities following allegations that he borrowed money from a customer, according […]

Raul Moreno (CRD #:4140096), a broker and investment advisor registered with  J.P. Morgan Securities, is involved in his first investor dispute, according to his BrokerCheck record, accessed […]

Justin Deiter (CRD #: 5225102), a registered broker and investment advisor with Spartan Capital Securities, is involved in a suitability dispute, according to his BrokerCheck record, accessed on December 30, […]

Doli Kumar (CRD #: 6586313), a broker formerly registered with Key Investment Services, consented to a two-month FINRA suspension together with a $2,500 fine according to […]

Florentino Chapa (CRD #:4763953), a broker registered with Sanctuary Securities is involved in his second investor dispute, according to his BrokerCheck record, accessed on November 22, […]

Kevin Rainwater (CRD #:3098443), a broker registered with Arkadios Capital, is involved in an unsuitability dispute, according to his BrokerCheck record, accessed on March 10, […]

Frank Mastrosimone (CRD #:322615), a broker registered with Pruco Securities, is involved in an investor dispute according to his BrokerCheck record, accessed on November 6, 2021. He is also […]

Edgar Kleydman (CRD #: 2727571), a formerly registered broker with MML Investors Services, has been barred by FINRA, according to his BrokerCheck record, accessed on November 8, 2021.   FINRA Allegations   According to […]