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Former Forest Securities Broker, Jeffrey Scott Nimmow, Barred By FINRA For Engaging In The Sale Of Woodbridge Notes Without Firm Approval

February 19, 2020

Jeffrey Scott Nimmow (CRD # 2693601) was a Financial Advisor at Forest Securities, Inc. in Hillside, IL.  Jeffrey Nimmow has been in the securities industry since since 1996 and previously worked at Questar Capital Corporation, Traderight Securities, Inc., USAllianz Securities, Inc., Signator Investors, Inc. and John Hancock Mutual Life Insurance Company. According to publicly available…

Former Moors & Cabot Broker, David Gray Dalton, Suspended By FINRA For Exercising Discretionary Trading Authority Without Customer Authorization

February 19, 2020

David Gray Dalton (CRD # 2418235) was a Financial Advisor at Moors & Cabot, Inc. in Boston, MA.  David Dalton has been in the securities industry since since 1993 and previously worked at Tucker Anthony Incorporated and Smith Barney Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February…

Former Vestech Securities Broker, Randy T. Carpen, Barred By FINRA For Failure To Cooperate Into Investigation Of Alleged Excessive Trading

February 14, 2020

Randy T. Carpen (CRD # 2469877) was a Financial Advisor at Vestech Securities, Inc. in St. Louis, MO.  Randy Carpen has been in the securities industry since since 1995 and previously worked at IBN Financial Services, Inc., Freedom Investors Corp., IFS Securities, Newbridge Securities Corporation, WestPark Capital, Inc. and CBG Financial Group. According to publicly…

Former Van Clemens Broker, Peter D. Monson, Suspended Six Months By FINRA For Alleged Excessive And Unsuitable Trading

February 14, 2020

Peter Douglas Monson (CRD # 2203309) was a Financial Advisor at Van Clemens & Co. Incoporated in Minneapolis, MN.  Peter Monson has been in the securities industry since since 1992 and previously worked at 1st Discount Brokerage, Acument Securites, Inc., Global Financial Group, Inc. and Hayne Miller Financial, Inc. According to publicly available records released…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

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Suite 7
Atlanta, GA 30326

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Indianapolis, IN 46032

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New York, NY 10016

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Suite 400
Dallas, TX 75201

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Suite 205
Portland, OR 97220

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Suite 1100
Denver, CO 80237

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1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis