Tag: Selling Away

George John Cairnes (CRD#: 4068906) was a previously registered investment advisor and broker. Broker’s Background He entered the securities industry in 2000 and has previously worked for Chelsea Financial Services; Wells Fargo Clearing Services, LLC; Wells Fargo Investments, LLC; Stanford Group Company; and Merril Lynch, Pierce, Fenner, & Smith Incorporated. Current Allegations of Conduct Leading […]

Todd Lesk (CRD#: 2788300) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1997 and previously worked for Cambridge Investment Research, Inc.; LPL Financial LLC; Invest Financial Corporation; Middlebury Securities, LLC; Sterne Agree Financial Services, Inc.; Atlantic Coast Securities Corporation; Livingston Monroe Capital Group, Inc.; G.T. Jeffers & […]

Scott Wolfrum (CRD#: 2187550) is a registered Investment Advisor at Wolfrum and Co., in Indianapolis, IN. Broker’s Background He entered the securities industry in 1991 and he previously worked for Huntleigh Securities Corporation; Noyes Advisors LLC; David A. Noyes & Company; Wells Fargo Advisors Financial Nework, LLC; Wells Fargo Advisors, LLC; A.G Edwards & Sons, […]

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 […]

John Brian Lee (CRD#: 2950037) is a registered broker and financial advisor at LPL Financial LLC, in Fort Worth, TX. Broker’s Background: John Lee entered the securities industry in 1999. He previous worked for Cambridge Investment Research Advisors, Inc; MML Investors Services, LLC; Northwestern Mutual Investment Services, LLC; Northwestern  Mutual Wealth Management Company; Nationwide Securities; […]

Jimmy Driggers (CRD#: 1359593) is a previously Registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley; Morgan Stanley & Co. Incorporated; UBS Financial Services Inc.; Prudential Securities Incorporated; Everen Securities, Inc.; Cozad Investment Services, Inc; Escalator Securities, Inc.(FINRA expelled the firm on 12/31/1997); Investacorp, […]

Wray Rodgers (CRD#: 2842993) is a previously registered Broker. Broker’s Background He entered the securities industry in 1997 and previously worked for Vining-Sparks IBG, LLC and ICBA Securities. Current And Past Allegations Of Conduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2023, FINRA sanctioned Wray Rodgers with […]

Douglas Bauerband (CRD#: 2850269) is a previously registered Broker at Gradient Securities, LLC in Toms River, NJ. Broker’s Background Douglas Bauerband entered the securities industry in 1997 and previously worked for Gradient Securities, LLC; TFS Securities, Inc.; Sagepoint Financial, Inc.; American General Securities Incorporated; and Uslife Equity Sales Corporation. Current and Past Allegations of Conduct […]

Nicholas Stovall (CRD#: 5581487) is a previously registered broker at Gradient Securities, LLC in Arden Hills, MN. Broker’s Background He entered the securities industry in 2008 and previously worked for Gradient Securities, LLC; West America Securities Corporation (Expelled by FINRA in 2013); and Edward Jones. Current and Past Allegations of Conduct Leading to Investment Loss […]

Michael Trethewey (CRD#: 2964914) is a registered Broker and Investment Adviser at Prospera Financial Services, Inc., in Fort Lauderdale, FL. Broker’s Background He entered the securities industry in 1997 and previously worked for Wells Fargo Clearing Services, LLC; Morgan Stanley; Morgan Stanley & Co., Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And […]