Alan Appelbaum is a former Financial Advisor at Aegis Capital Corp. in Boca Raton, FL.  Alan Appelbaum has been in the securities industry since 1976 and previously worked at Herbert J. Sims & Co. and Ryan Beck & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Alan Appelbaum has […]

Erin Verespy is a former Financial Advisor at HD Vest Investment Services in Trumbull, CT.  Erin Verespy has been in the securities industry since 1996 and previously worked at Bankboston Investor Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 15, 2019, Erin Verespy was sanctioned by FINRA, […]

The Wolper Law Firm, P.A. previously reported that Financial Advisor, James Bradley Schwartz, was the subject of of nine (9) customer complait disclosures, alleging sales practice violations.  As of the date of this updatge, James Bradley Schwartz has now been barred  from the securities industry by the Financial Industry Regulatory Authority (FINRA).  James Schwartz is […]

James B. Eichner, Jr. is a former Financial Advisor at Allied Millennial Partners in Garden City, NY.  James Eichner has been in the securities industry since 2000 and previously worked at Ladenburg Capital Management, Harrison Securities, Joseph Stevens & Company, S.W. Bach & Company and National Securities Corporation. According to publicly available records released by […]

Jonathan T. Pyne is a Financial Advisor at Berthel Fisher & Co. in Minneapolis, MN.  Jonathan Pyne has been in the securities industry since 1995 and previously worked at W.S. Griffith & Co., Inc., 1717 Capital Management Company, Clearing Services of America, Inc. and United Planners’ Financial Services of America. According to publicly available records […]

Scott Klor is a former Financial Advisor at LPL Financial, Inc. in Fort Mill, South Carolina.  Scott Klor has been in the securities industry since 1994 and previously worked at Uvest Financial Services Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 4, 2019, Skott Klor was sanctioned […]

John W. Marshall, Jr. is a Financial Advisor at Centaurus Financial, Inc. in Lexington, South Carolina.  John Marshall, Jr. has been in the securities industry since 1997 and previously worked at D.E. Frey & Company, Inc., First Allied Securities, Inc., Gunnallen Financial, Inc. and J.P. Turner & Company, Inc.  According to publicly available records released […]

Izhar Shefer is a former Financial Advisor at Morgan Stanley in Aventura, FL.  Izhar Shefer has been in the securities industry since 1998 and previously worked at Corporate Securities Group, Inc., Merrill Lynch, Pierce, Fenner & Smith, Salomon Smith Barney, Inc., Prudential Securities Incorporated, Wachovia Securities, LLC, and APW Capital, Inc. Izhar Shefer is not […]

James Travis Flynn is a former Financial Advisor at Voya Financial Advisors, Inc. in Greenville, South Carolina.  After being terminated by Voya in August 2017 for providing “misleading information to the Firm during a complaint investigation,” James Flynn briefly joined IFS Securities, where he was terminated in 2018 for allegations he “traded ahead of authorization.’  […]