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Category: First Financial Equity Corp.

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Scott W. Reed Barred by the SEC and FINRA for Selling Away

Scott W. Reed (CRD#: 3007033) is a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2008 and previously worked for Strategic Advisers, Inc.; Ashton Thomas Private Wealth, LLC; Wells Fargo Clearing Services, LLC; and First Financial Equity Corporation. Allegations of Misconduct According to publicly available records released by the […]

SEC Acts Against Financial Advisor Robert High

Robert High (CRD#: 4568165) was a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for First Financial Equity Corporation; Chase Investment Services Corp.; Banc One Securities Corporation; and Edward Jones. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records […]

Financial Advisor David Volpe (First Financial Equity Corporation) Customer Complaints

David Volpe (CRD#: 2543478) is a previously registered Broker, currently barred by FINRA. He entered the securities industry in 1996 and previously worked for First Financial Equity Corporation; LPL Financial, LLC; National Planning Corporation; AIG Financial Advisors, Inc.; and SunAmerica Securities, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor Stephen Whittaker (First Financial Equity Corporation) Customer Complaints

Stephen Whittaker was a Financial Advisor at First Financial Equity Corp. in Surprise, AZ.  Stephen Whittaker has been in the securities industry since 2003 and previously worked at Morgan Stanley.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Whittaker was terminated by First Financial Equity Corp. in April 2019 […]

Financial Advisor Daniel Levine (Morgan Stanley) Customer Complaints

Daniel Levine is a former Financial Advisor at Morgan Stanley in Greenwood Village, Colorado.  After being terminated by Morgan Stanley in August 2018, Daniel Levine briefly joined First Financial Equity Corp.  Robert Mehlin, Jr. has been in the securities industry since 1997 and previously worked at UBS Financial Services and Merrill Lynch. According to publicly […]