Tag: Unsuitable

Moloney Securities (CRD# 38535) is a registered brokerage firm in Manchester, MO. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2024, the Securities and Exchange Commission (Commission) deemed it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are […]

Robert Morgan Vance (CRD#: 1887560) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1988 and previously worked with DreamWest Securities Corporation (FINRA expelled the firm in 1994); IDS Life Insurance Company; American Express Financial Advisors, Inc.; SunAmerica Securities, Inc.; Macken Securities, Inc.; World Choice Securities, Inc.; BFT […]

Bert Kenji Takita, Jr. (CRD#: 5852632) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2010 and previously worked with Equitable Advisors, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2024, without admitting or denying the findings, […]

James Taylor Davis (CRD#: 6646090) is a registered investment adviser with Meridian Wealth Management, LLC in Lexington, KY. He is also a previously registered broker. Broker’s History He entered the securities industry in 2017 and previously worked with Northwestern Mutual Investment Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Danny Ray Strain (CRD#:437903) is a registered broker and investment advisor with Cape Securities Inc., in Columbus, GA. Broker’s History He entered the securities industry in 1982 and previously worked with Pruco Securities Corporation; Equity Services, Inc.; Proequities, Inc.; Aura Financial Services, Inc.; Pan-American Financial Advisers; Resource Horizons Group, LLC.; and Resource Horizons Investment Advisory, […]

Vincent Roland Bailey (CRD#:1845517) is a registered broker with Berthel, Fisher & Company Financial Services, Inc. in Batavia, IL and previously registered investment advisor. Broker’s History He entered the securities industry in 1992 and previously worked with Consolidated Financial Investments, Inc.; Aegon USA Securities Inc.; Continental Capital Investment Services, Inc.; and Berthel Fisher & Company […]

Guy Gregory Clemente (CRD#: 1222597) is a registered broker and investment advisor with Aegis Capital Corp., in New York, NY. Broker’s Background He entered the securities industry in 1984 and previously worked with Rauscher Pierce Refsnes, Inc.; Lehman Brothers Inc.; Smith Barney Inc.; Commonwealth Associates; The J.B Sutton Group, Inc.; Sands Brothers & Co., LTD.; […]

James Roy Paige (CRD#1726609) is a Registered Broker and Investment Advisor with Wells Fargo Clearing Services, LLC in Vero Beach, FL. Broker’s Background He entered the securities industry in 1987 and previously worked with Blinder, Robinson & Co., Inc.; Morgan Stanley DW Inc.; and Morgan Stanley & Co. Incorporated. Current and Past Allegations of Conduct […]

Louis Martin Wargo (CRD#:1416101) is a Registered Broker and Investment Advisor with Osaic Wealth, Inc., in Brecksville, OH. Broker’s Background He entered the securities industry in 1994 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; The Equitable Life Assurance Society of the United States; AXA Advisors LLC; and FSC Securities Corporation. Current […]

Jack R. Thacker Jr. (CRD#: 2754773) is a registered broker and investment advisor with Realta Equities, Inc. in Bristol, VA. Broker’s Background He entered the securities industry in 1996 and previously worked with John Hancock Mutual Life Insurance Company; Signator Investors, Inc.; Dortch Securities & Investments, Inc.; Kalos Capital, Inc.; Thacker & Associates Inc.; Arete […]