Tag: Unsuitable

Brian Kenneth Court (CRD#: 2591547) was a previously registered broker. Broker’s History He entered the securities industry in 1995 and previously worked with Royce Investment Group, Inc.; Investec Ernst & Company; Gunnallen Financial, Inc.; J.P Turner & Company, LLC; and Aegis Capital Corp. Brian Court According to publicly available records released by the Financial Industry […]

William Randall Moening (CRD#: 3029155) is a registered investment advisor with Aegis Capital Corp in Austin, TX. Broker’s History He entered the securities industry in 1998 and previously worked with Banc of America Investment Services, Inc.; Wells Fargo Cleaning Services, LLC; and RBC Capital Markets, LLC. Current and Past Allegations of Conduct Leading to Investment […]

Stephen Glover Parks (CRD# 5074732) is a registered broker with Skystone Securities, LLC in Dallas, TX. Broker’s History He entered the securities industry in 2006 and previously worked with Penson Financial Services, Inc.; Samco Capital Markets, Inc.; and Commerce Street Capital, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry […]

Stephen Swensen (CRD#: 2885578) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1997 and previously worked with Robert W. Baird & Co. Incorporated; Northwestern Mutual Investment Services; Park Avenue Securities LLC; Securian Financial Services, Inc.; Commonwealth Financial Network; Summit Brokerage Services, Inc.; Allegis Investment Services, LLC; J.W. […]

John Sandor Lemak (CRD#: 845891) is a registered broker and investment advisor with Axiom Capital Management, Inc. in New York, NY. Broker’s History He entered the securities industry in 1977 and previously worked with Kidder, Peabody & Co., Incorporated; Morgan Keegan & Company, Inc.; WFG Investments, Inc.; and WFG Advisors, LP. Current and Past Allegations […]

Brent Alan Nelson (CRD#: 3026585) is a registered broker and investment advisor with Stonex Securities Inc. in Youngstown, OH. Broker’s History He entered the securities industry in 1998 and previously worked with Fairchild Financial Group, Inc. (FINRA expelled the firm in 2001); AC Financial, Inc.; IAR Securities Corp. (FINRA expelled the firm in 2012); WRP […]

Justin Ray Deiter (CRD#: 5225102) was a previously registered broker. Broker’s History He entered the securities industry in 2007 and previously worked with Prestige Financial Center, Inc. (FINRA expelled the firm in 2011); Global Arena Capital Corp. (FINRA expelled the firm in 2016); Aegis Capital Corp.; Allied Millenial Partners, LLC; and Spartan Capital Securities, LLC. […]

Neil Seth Okun (CRD#: 2482935) is a registered broker with Trident Partners LTD in Naples, FL. Broker’s History He entered the securities industry in 1994 and previously worked with Lehman Brothers Inc.; Gruntal & Co., LLC; Morgan Stanley DW Inc.; Citigroup Global Markets Inc.; Morgan Stanley Smith Barney; Oppenheimer & Co, Inc.; Wells Fargo Advisors […]

Michael Jay Shatsky (CRD#:2430683) is a registered investment advisor with Sky Alpha Asset Advisors, LLC in Boca Raton, FL. He was also a previously registered broker. Broker’s History He entered the securities industry in 1994 and previously worked with Citigroup Global Markets Inc.; Morgan Stanley, and Oppenheimer & Co., Inc. Current and Past Allegations of […]

Kerrie Coe (CRD#: 4951159) is a registered broker with Wells Fargo Clearing Services, LLC, in Indianapolis, IN.   Broker’s History She entered the securities industry in 2005 and previously worked with Banc One Securities Corporation, Chase Investment Services Corp., J.P Morgan Securities LLC, and Cetera Investment Services LLC.   Current and Past Allegations of Conduct […]