Tag: Unsuitable

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 […]

Brian Lee Culver (CRD#: 6392736) is a registered broker and investment advisor with Cambridge Investment Research, Inc. in Kalamazoo, MI.   Broker’s History He entered the securities industry in 2015 and has worked with Cambridge Investment research Inc.,   Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Michael William Risko (CRD#: 1975573) is a registered broker and investment advisor with Osaic Institutions, Inc., in Hyde Park, NY. Broker’s History He entered the securities industry in 1989 and previously worked with Invest Financial Corporation; Oppenheimerfunds Distributor, Inc.; Reliastar Financial Marketing Corp.; Washington Square Securities, Inc.; Fortis Investors, Inc.; AIM Distributors, Inc.; AIM Private […]

Barry Todd Eisenberg (CRD#: 2313107) and Philip Noto (CRD#: 4837180) were both registered brokers at Alexander Capital, L.P., in New York. Broker’s History Barry Eisenberg entered the securities industry in 1993, and previously worked with Royce Investment Group, Inc.; Marlowe & Company (FINRA expelled the firm in 2001); Clearing Services of America, Inc.; DIF Securities […]

Stephen Herman Wedel (CRD#: 1221992) is a registered broker and investment advisor with Private Client Services, LLC in Naples, FL   Broker’s History He entered the securities industry in 1984 and previously worked with First Investors Corporation; Veravest Investment Advisors, Inc.; and LPL Financial LLC.   Current and Past Allegations of Conduct Leading to Investment […]

Peter Goffin (CRD#: 1617710) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1987 and previously worked with Commvest Securities; JW Charles Securities; Wachovia Securities Financial Network, LLC; and Newbridge Securities Corporation Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Patrick Dean Louise (CRD#: 5810428) is a registered broker and investment advisor with LPL Financial LLC, in Woodstock, IL. Broker’s History He entered the securities industry in 2010 and previously worked with Fifth Third Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

Gihan Anil Fernando (CRD#: 4469669) is a registered broker and investment advisor with Cetera Investment Services, LLC in Houston, TX. Broker’s History He entered the securities industry in 2002 and has worked with Morgan Staney DW Inc.; Morgan Stanley; Bok Financial Securities; and Bok Financial Advisors. Current and Past Allegations of Conduct Leading to Investment […]