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Former National Securities Corp. Broker, Jason Hawke, Has Eight Customer Complaints, Two Employment Terminations And A Regulatory Sanction

February 9, 2020

Jason Hawke (CRD # 4177415) was a Financial Advisor at National Securities Corp. in Meridian, Idaho. Jason Hawke has been in the securities industry since 2000 and previously worked at Newbridge Securities Corp and JP Turner & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2019, the…

Former Cetera Advisors Broker, Stephen Carver, Barred By FINRA

January 19, 2020

Stephen Carver (CRD # 2230161) was a Financial Advisor at Cetera Advisors and Lifemark Securities in Peoria, Illinois.  Stephen Carver has been in the securities industry since since 1992 and previously worked for Brewer Financial Services and LPL Financial Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January…

FINRA Sanctioned Broker, Robert P. Allen, For Allegedly Engaging In Unapproved Outside Business Activities

December 22, 2019

Robert P. Allen (CRD # 6267678) was a former Financial Advisor at Country Capital Management Company in Augusta, GA. Robet Allen has been in the securities industry since 2013. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 13, 2019, FINRA sanctioned Robert Allen for allegedly engaging “in an…

Former Kingsbury Capital Broker, Michael J. Collins, Suspended And Fined By FINRA For Allegedly Engaging In Unapproved Private Securities Transactions

December 3, 2019

Michael Jason Collins (CRD # 2915653) was a Financial Advisor at Kingsbury Capital, Inc. in Evanston, IL. Michael Collins has been in the securities industry since 1999 and previously worked at Robert W. Baird & Co., Morgan Stanley and Citigroup Global Markets. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis