Tag: Unsuitable

Robert Emett Marquez (CRD#: 22662269) is a previously registered broker.   Broker’s Background He entered the securities industry in 1992. He previously worked for Investment Network; Edi Financial, Inc (FINRA expelled the firm in 2017); Colorado Financial Service Corporation; Brookstone Securities (FINRA expelled the firm in 2012); Empire Financial Group (FINRA expelled the firm in […]

Michael Corrada (CRD# 709158) was a previously registered broker and financial advisor. Broker’s Background He entered the securities industry in 1980 and previously worked for Center Street Securities, Inc.; Coastal Equities, Inc.; Centaurus Financial, Inc.; SunTrust Investment Services, Inc.; BB&T Investment Services, Inc.; Crestar Securities Corporation; Signet Investment Corporation; E.F Hutton & Company Inc.; Merrill […]

Joseph Hanson (CRD#: 5109237) was a registered broker and investment advisor. Broker’s Background He entered the securities industry in 2006. He previously worked for the O.N Equity Sales Company; Metlife Securities Inc.; and Metropolitan Life Insurance Company. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November […]

Nisreen Byrne (CRD# 2223199) is a registered broker and investment advisor at J.P Morgan Securities LLC Broker’s Background Nisreen Byrne entered the securities industry in 1992. She previously worked at Chase Investment Services Corp.; Banc One Securities Corp.; First Chicago NBD Investment Services, Inc.; and Essex National Securities, Inc. Current and Past Allegations of Conduct […]

Christopher Nelson Kirkland (CRD#: 5602044) is a registered broker and investment advisor at Avantax Investment Services, Inc., in Atlanta, Georgia.   Broker’s Background Christopher Kirkland entered the securities industry in 2008. He previously worked for LPL Financial, LLC; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and Ameriprise Financial Services, Inc.   Current Allegations of Conduct […]

Mary Ann Best (CRD#: 4389355) is a registered broker and investment advisor at Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P in Washington, D.C.   Broker’s Background Mary Best was first registered with FINRA in 2001. She previously worked at J.P Morgan Securities LLC.   Current Allegations of Conduct Leading to Investment Loss According […]

Mark Gillelen (CRD#: 1868626) is a registered broker and Investment Advisor at LPL Financial LLC in Redwoord City, CA. Broker’s Background He entered the securities industry in 1989 and previously worked for Cetera Investment Advisers, LLC; First Allied Securities, Inc; First Allied Advisory Services, Inc; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; Banc […]

Viqas Akhtar (CRD#: 5624412) is a registered broker at B. Riley Wealth Management in Miami, FL. Broker’s Background Viqas Akhtar entered the securities industry in 2009 and he previously worked for National Securities Corporation; VFinance  Investments, Inc.; and Rockwell Global Capital LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Lawrence William Catena (CRD#: 2037155) is a Registered Broker and Investment Advisor at Morgan Stanley in Naples, FL. Broker’s Background He entered the securities industry in 1990 and previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated; and McLaughlin, Piven, Vogel Securities. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Stephen Curtis Lawler (CRD#: 1193477) is a Registered Broker and Investment Advisor at Cetera Advisors LLC, in Peoria, IL. Broker’s Background He entered the securities industry in 1983 and previously worked for First Allied Securities, Inc.; Lawler Financial Advisory Corporation; First Allied Advisory Services, Inc.; Investacorp Inc.; Integrated Resources Equity Corporation; FSC Securities Corporation; and […]