Fernando Corcuchia (CRD#: 5394734) was a previously registered broker. Broker’s Background He entered the securities industry in 2009 and previously worked with New England Securities; NYLife Securities LLC; and Pruco Securities, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2024, Fernando Corcuchia became the […]

Ronald Luther Bucher (CRD#: 1804910) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1988, and previously worked with Glickenhaus & Co.-New Jersey; Dean Witter Reynolds, Inc.; Moore & Schley, Cameron & Co.; Hanifen, Imhoff Securities Corp.; Josephthal & Co., Inc.; Josephthal Lyon & Ross Incorporated; Prudential Securities […]

John Sommo (CRD#: 3141638) is a previously Registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Dean Witter Reynolds, Inc.; Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and UBS Financial Services, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

(CRD#: 290351) Background GlennCap LLC is a Connecticut limited liability company with its principal place of business in Greenwich, Connecticut. GlennCap has been registered as an investment adviser with the State of Connecticut since January 3, 2018, except for a period from December 31, 2019 to January 14, 2020 when GlennCap failed to renew its […]

Jeffrey Kirkpatrick (CRD#: 3069597) was a previously registered broker, and investment adviser. Broker’s Background Kirkpatrick was first registered with FINRA in 1998. He previously worked at Merrill Lunch, Pierce, Fenner & Smith Incorporated; H&R Block Financial Advisors; and Sterne Agee Financial Services, Inc; LPL Financial LLC; Hamilton Investment Counsel, LLC; and Transitus Wealth Partners LLC. […]

Billy Stanage Jr. (CRD#: 4450674) was a previously registered broker and investment advisor at Commonwealth Financial Network, in Rio Rancho, NM. Broker’s Background He entered the securities industry in 2001. He previously worked for Commonwealth Financial Network; Securities America, Inc.; Foothill Securities, Inc.; Cetera Advisor Networks LLC; and  FFP Securities. Current and Past Allegations of […]

FINRA recently issued a sanction against Network 1 Financial Securities, Inc. and supervisor Michael Molinaro after it was alleged that Network 1 and Michael Molinaro, “did not establish, maintain, and enforce a supervisory system.” Network 1 Financial Securities, Inc., has been a FINRA member since 1983. The company’s main office is in Red Bank, NJ […]

Jonathan Way (CRD# 1126849) was a previously registered broker at Wedbush Securities Inc., in Napa, CA. Broker’s Background He entered the securities industry in 1983 and previously worked for Wedbush Securities, Inc.; Ryan, Beck & Co., LLC; Gruntal & Co LLC; Moors & Cabot, Inc.; Dakin Securities Corporation; Rodman & Renshaw Inc.; Smith Barney Inc.; […]

Lickhai Quach (CRD#: 2804704) is a previously registered Broker. Broker’s Background He entered the securities industry in 1997 and previously worked for Transamerica Financial Advisors, Inc.; World Group Securities, Inc.; and WMA Securities, Inc. Current And Past Allegations Of Conduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August […]

FINRA recently issued a sanction against Concorde Investment Services after it was alleged that the firm sold private placement offerings to investors with whom it did not have an existing relationship and who were not qualified to make those investments. Concorde Investment Services, LLC (CRD# 151604) has been a FINRA member since August 2010. The […]