Nisreen Byrne (CRD# 2223199) is a registered broker and investment advisor at J.P Morgan Securities LLC Broker’s Background Nisreen Byrne entered the securities industry in 1992. She previously worked at Chase Investment Services Corp.; Banc One Securities Corp.; First Chicago NBD Investment Services, Inc.; and Essex National Securities, Inc. Current and Past Allegations of Conduct […]

Curtis B. Wilson (CRD#: 1517272) is a registered investment advisor representative at CreativeOne Wealth, LLC in Tulsa, OK.   Broker’s Background He entered the securities industry in 1986. He previously worked for Beam Asset Managements, LLC; Securities America, Inc.; LPL Financial, LLC; Summit Investment Group, LLC; FWC Wealth Advisors LLP; Geneos Wealth Managements, Inc.; Merril […]

Stewart Ginn (CRD#: 4503197) is a registered broker at Independent Financial Group, LLC in Encinitas, CA.   Broker’s Background He entered the securities industry in 2002. He previously worked for Navian Capital Securities LLC; Newbridge Securities Corporation; Chicago Investment Group, LLC (FINRA expelled the firm in 2010); Ladenburg Thalmann & Co., Inc; and Ladenburg Capital […]

Elba Nogueras (CRD#:4459340) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2002 and previously worked for First Southern, LLC; Kovack Securities Inc.; UBS Financial Services, Inc; UBS Financial Services Incorporated of Puerto Rico; and R-G Investments Corporation.   Allegations of Misconduct According to publicly available records […]

Leslie Don Jackson (CRD:#2176917) is a previously registered broker and investment advisor.   Broker’s Background Leslie Jacksons entered the securities industry in 1991 and previously worked for Momentum Independent Network, Inc., in Dallas, Texas.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2023, without […]

Christopher B. Kennedy (CRD#: 4498061) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc; Spartan Capital Securities, LLC; Financial West Group (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]

Christopher Nelson Kirkland (CRD#: 5602044) is a registered broker and investment advisor at Avantax Investment Services, Inc., in Atlanta, Georgia.   Broker’s Background Christopher Kirkland entered the securities industry in 2008. He previously worked for LPL Financial, LLC; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and Ameriprise Financial Services, Inc.   Current Allegations of Conduct […]

Mary Ann Best (CRD#: 4389355) is a registered broker and investment advisor at Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P in Washington, D.C.   Broker’s Background Mary Best was first registered with FINRA in 2001. She previously worked at J.P Morgan Securities LLC.   Current Allegations of Conduct Leading to Investment Loss According […]

Rebecca Ng-Tsang (CRD#: 5578435) is a previously registered broker.   Broker’s Background   She entered the securities industry in 2008 and previously worked for Cetera Investment Services LLC; LPL Financial LLC; Uvest Financial Services Group, Inc; and Primevest Financial Services, Inc.     Current and Past Allegations of Conduct Leading to Investment Loss   According […]

Thomas Graham Kahn (CRD#: 263171) is a registered broker and investment advisor at Kahn Brothers LLC., in New York, NY. Broker’s Background Thomas Kahn entered the securities industry in 1969. He previously worked for Lehman Brothers Kuhn Loeb Incorporated, and Abraham & Co. Inc. Allegations of Misconduct According to publicly available records released by the […]