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Financial Advisor David Test Suspended by FINRA

David Test (CRD#: 2341570) is a dually registered Broker and Investment Adviser at Avantax Investment Services, Inc. in Frisco, TX. Broker’s Background He entered the securities industry in 1993 and previously worked for Northwestern Mutual Investment Services, LLC; MML Investors Services, Inc.; Hartford Equity Sales Company, Inc.; and The Great-West Life Assurance Company. Current And […]

Financial Advisor Theodore Serure Suspended by FINRA For Four Months

Theodore Serure (CRD#: 419023) is a formerly registered Investment Adviser and a registered Broker at Jefferies, LLC in New York, NY. Broker’s Background He entered the securities industry in 1969 and previously worked for J.P. Morgan Securities, LLC; Bear, Stearns & Co., Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations […]

Rabih Msallem Discloses Customer Complaint Regarding Structured Note Investments

Rabih Msallem (CRD#: 3199470) is a dually registered Broker and Investment Adviser at Citigroup Global Markets, Inc. in Glendale, CA. Broker’s Background He entered the securities industry in 1999 and previously worked for Citicorp Investment Services; Cal Fed Investments; Gateway Investment Services, Inc.; Essex National Securities, Inc.; Stifel, Nicolaus & Company, Inc.; and Dean Witter […]

Financial Advisor Ariel Rivero (Insigneo Securities, LLC) Customer Complaints

Financial Advisor Ariel Rivero Discloses Customer Complaint Ariel Rivero (CRD#: 4236679) is a dually registered Broker and Investment Adviser at Insigneo Securities, LLC in Miami, FL. Broker’s Background He entered the securities industry in 2000 and previously worked for Leucadia Asset Management, LLC; Jefferies, LLC; Oppenheimer & Co., Inc.; Morgan Stanley; and Merrill Lynch, Pierce, […]

Financial Advisor Eileen Cure Has Two Disclosed Customer Complaints

Eileen Cure (CRD#: 2224269) is a previously registered Broker and an Investment Adviser. Broker’s Background She entered the securities industry in 1992 and previously worked for LPL Financial, LLC; HD Vest Investment Services; Investment Management & Research, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment […]

Financial Advisor Clinton Byrd Suspended by FINRA

Clinton Byrd (CRD#: 4673625) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 2003 and previously worked for Cantella & Co., Morgan Stanley and Co., and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Raymond Sardina Has Disclosed $1.5 Million Customer Complaint

Raymond Sardina (CRD#: 3068885) is a registered Broker and an Investment Adviser at Raymond James & Associates, Inc. in Coral Gables, FL. Broker’s Background He entered the securities industry in 2000 and previously worked for Morgan Stanley, and Morgan Stanley DW, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly […]

Financial Advisor Chinyuan Chang Barred by FINRA For Alleged Theft

Chinyuan Chang (CRD#: 2922898) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1997 and previously worked for Morgan Stanley; Cetera Investment Services, LLC; Primevest Financial Services, Inc.; Sinopac Financial Services (USA) LTD.; PCI*Trade Securities; ASI Investments, Inc.; Milestone Financial Services, Inc.; and Bestrade, Inc. Current […]

FINRA Barred Financial Advisor Desiderio Torrez

https://brokercheck.finra.org/individual/summary/4759218 Desiderio Torrez (CRD#: 4759218) is a previously registered Broker. Broker’s Background He entered the securities industry in 2005 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2022, FINRA sanctioned Desiderio […]

Financial Advisor Leonid Yurovsky Suspended by FINRA

Leonid Yurovsky (CRD#: 4554905) is a registered Broker at Joseph Stone Capital, LLC in Mineola, NY. Broker’s Background He entered the securities industry in 2002 and previously worked for PHX Financial, Inc.; National Securities Corporation; John Thomas Financial; Laidlaw & Company (UK) LTD.; Gunnallen Financial, Inc.; J.P. Turner & Company, LLC; LaSalle St. Securities, LLC; […]