Broker Blog - Page 30 of 336 - Securities & Investment Lawyer

Manoucher Zolfaghari Fired from Ally Invest Securities Over Alleged Misrepresentations

Apr 21, 2023 Fired Brokers

Manoucher Zolfaghari (CRD #: 6701173), a broker formerly registered with Ally Invest Securities, allegedly misrepresented his personal information to the firm, according to his BrokerCheck […]

William Kastelz Allegedly Misrepresented Whole Life Insurance Policy

Apr 21, 2023 Misrepresentation

William Kastelz (CRD #: 5564461), a broker formerly registered with MML Investors Services, allegedly misrepresented an insurance policy, according to his BrokerCheck record, accessed on […]

Kaitlin Whitinger Resigns from Charles Schwab & Company

Apr 21, 2023 Employment

Kaitlin Whitinger (CRD #: 7463814), a broker formerly registered with Charles Schwab & Company, allegedly violated firm policies, according to her BrokerCheck record, accessed on […]

Christopher Crawford Fired from Fidelity Brokerage Services

Apr 21, 2023 Fired Brokers

Christopher Crawford (CRD #: 5972954), a broker formerly registered with Fidelity Brokerage Services, was fired from that firm, according to his BrokerCheck record, accessed on […]

Investors with Prospera Financial Services: Did You Lose Money?

Apr 21, 2023 Articles

Jilena Mok Fired from Edward Jones

Apr 21, 2023 Fired Brokers

Jilena Mok (CRD #: 6115674), a broker formerly registered with Edward Jones, allegedly violated firm policy, according to her BrokerCheck record, accessed on April 13, […]

Nicole Bolton Resigns from Northwestern Mutual Investment Services

Apr 21, 2023 Employment

Nicole Bolton (CRD #: 7279951), a broker formerly registered with Northwestern Mutual Investment Services, allegedly engaged in an outside business activity in an unapproved way, […]

Thomas Kuchta Fired from Goldman Sachs For Alleged Misconduct

Apr 21, 2023 Fired Brokers

Thomas Kuchta (CRD #: 7503797), a broker formerly registered with Goldman Sachs & Company, allegedly violated firm policy, according to his BrokerCheck record, accessed on […]

David Jang Fired from Edward Jones Following Allegations of Misconduct

Apr 21, 2023 Fired Brokers

David Jang (CRD #: 5684445), a broker formerly registered with Edward Jones, was recently fired from the firm, according to his BrokerCheck record, accessed on […]

Gregory Corrie Fired from Cambridge Investment Research

Apr 21, 2023 Unit Investment Trusts

Gregory Corrie (CRD #: 1982814), a broker formerly registered with Cambridge Investment Research, was fired from the firm, according to his BrokerCheck record, accessed on […]