fbpx

Category: Securities America

  • Home
  • »
  • Securities America

Financial Advisor Alan Douglass Has Disclosed Six Customer Complaints

Alan Douglass (CRD#: 1619835) is a registered Broker at Securities America, Inc. in Clearwater, FL. Broker’s Background He entered the securities industry in 1987 and previously worked for Investacorp, Inc.; Meridian, Dunhill & Co., Inc.; Monmouth Investments, Inc.; Barron Chase Securities, Inc.; Lehman Brothers, Inc.; Hanifen, Imhoff Securities Corp.; Graystone Nash, Inc.; Thomas James Associates, […]

Former Securities America Financial Advisor Sanjay Bhargava Permitted to Resign

Sanjay Bhargava (CRD: 4495397) is a dually registered Broker and Investment advisor at Regulus Financial Group, LLC in Independence, OH. Broker’s Background He entered the securities industry in 2003 and previously worked for Arbor Point Advisors; Securities America, Inc.; JK Investment Group, Inc.; Securities America Advisors, Inc.; QA3 Financial Corp.; QA3 Financial, LLC; and C. […]

Financial Advisor, Ronald Roach, Barred From The Securities Industry By The Securities And Exchange Commission

Ronald Roach (CRD # 3216784) was a former Financial Advisor at Securities America in Walnut Creek, California. Ronald Roach has been in the securities industry since 1999 and previously worked at Brecek & Young Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 23, 2019, Securities America terminated […]

Former Securities America Financial Advisor, Jaime Westenbarger, Barred By FINRA After Failing To Comply With A FINRA Investigation

Jaime Westenbarger (CRD # 4625703) was a Financial Advisor at Securities America in Grand Rapids, Michigan.  Jaime Westenbarger has been in the securities industry since 2003 and previously worked at First Allied Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2019, Jaime Westenbarger was terminated by Securities […]

Former Securities America Broker, Bobby Coburn, Barred By FINRA

Bobby Coburn (CRD # 1464789) is a former Financial Advisor at Securities America, Inc. in Fort Meade, FL.  Bobby Coburn has been in the securities industry since 1998 and previously worked at Brecek & Young Advisors, Inc., Legend Equities Corporation, Nationwide Securities, Inc., Walnut Street Securities, Inc., North American Management, Inc. and Ameritas Investment Corp.  […]

Securities America Financial Advisor, Andrew Burdsall, Has Five Reported Customer Complaints

Andrew Burdsall is a Financial Advisor at Securities American in Jeffersonville, IN.  Andrew Burdsall has been in the securities industry since 1999 and previously worked at Ameriprise Financial Services and LDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Andrew Burdsall has five customer complaints disclosed on […]

Financial Advisor, Michael Dennis Jackson, Suspended By FINRA For Six Months For Allegedly Exercising Discretion In A Customer Account Away From Her Brokerage Firm

The Wolper Law Firm iscurrently investigating claims against Michael Dennis Jackson (CRD  2784958),a former Financial Adviser at Securities America in University Place,Washington.  Michael Dennis Jackson has been in the securities industry since the 1990s and previously worked at Brecek & Young Advisors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

INVESTOR WARNING—Broker Hector May Was Terminated By Securities America For Misappropriation Of Client Assets

The Wolper Law Firm is currently investigating claims against Hector May, a former Financial Advisor at Securities America in New City, NY.  Hector May has been in the securities industry since 1973 and previously worked at Prime Capital Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 9, […]

Securities America Discharged Financial Advisor Giustino Destafano, Who Has Six Customer Complaints And A Regulatory Sanction

The Wolper Law Firm is currently investigating claims against Giustino Destafano, a former Financial Advisor at Securities America in Williamsville, NY.  Matthew Eckstein first entered the securities industry in 2005 and previously worked for Merrill Lynch, Wachovia Securities and Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Giustino […]