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Month: March 2019

Financial Advisor Daniel Levine (Morgan Stanley) Customer Complaints

Daniel Levine is a former Financial Advisor at Morgan Stanley in Greenwood Village, Colorado.  After being terminated by Morgan Stanley in August 2018, Daniel Levine briefly joined First Financial Equity Corp.  Robert Mehlin, Jr. has been in the securities industry since 1997 and previously worked at UBS Financial Services and Merrill Lynch. According to publicly […]

Financial Advisor Dudley Stephens (Coastal Equities, Inc.) Customer Complaints

Dudley Stephens is a former Financial Advisor at Coastal Equities, Inc. in New York, NY.  Dudley Stephens has been in the securities industry since 2000 and previously worked at Prospera Financial Services, Wells Fargo Advisors and seven brokerage firms that have since been expelled from the securities industry.  According to publicly available records released by […]

Financial Advisor Judith A Johnston (NY Life Securities) Customer Complaints

Judith A Johnston is a former Financial Advisor at NY Life Securities in Frisco, TX.  Judith Johnston has been in the securities industry since 2009.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2019, FINRA sanctioned Judith Johnston, barring her indefinitely from the securities industry for the […]

Financial Advisor Robert C Mehlin, Jr. (Coastal Equities, Inc.) Customer Complaints

Robert C Mehlin, Jr. is a Financial Advisor at Coastal Equities in Fairfield, NJ.  Robert Mehlin, Jr. has been in the securities industry since 1981 and previously worked at Dolan & Pitcher, Inc., Gibraltar Securities Co., Tucker Anthony Incorporated, RBC Dain Rauscher, Inc., Citigroup Global Markets, Inc., Morgan Stanley and Wells Fargo Advisors Financial Network, […]

Financial Advisor Joseph J Esposito (Raymond James Financial Services, Inc.) Customer Complaints

Joseph J Esposito is a Financial Advisor at Raymond James Financial Services, Inc. in Scranton, PA.  Joseph Esposito has been in the securities industry since 1979 and previously worked at Wells Fargo Advisors, LLC, Prudential Securities Incorporated and Thomson McKinnon Securities, Inc.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Financial Advisor John W Spach (Kestra Investment Services, LLC) Customer Complaints

John W Spach is a former Financial Advisor at Kestra InvestmentServices, LLC in Aliso Viejo, CA.  John Spach has been in the securities industry since 1996 and previously worked at MML Investors Services, Inc., NFP Securities, Inc., Sentra Securities Corporation and Financial West Group, Financial Telesis, Inc.  According to publicly available records released by the […]

Financial Advisor Mark F. Augusta (Hilltop Securities, Inc.) Customer Complaints

Mark F. Augusta is a Financial Advisor at Hilltop Securities, Inc. in Del Mar, California. Mark Augusta has been in the securities industry since 1986 and previously worked at Baraban Securities, Inc. Miller & Schroeder Financial, Inc., Piper Jaffray & Co., Stone & Youngberg, LLC and Wedbush Securities, Inc. According to publicly available records released […]

Financial Advisor Robert Yasnis (Worden Capital Management, LLC) Customer Complaints

Robert Yasnis is a Financial Advisor at Worden Capital Management in Melville, NY.  Robert Yasnis has been in the securities industry since 1993 and previously worked at Laidlaw & Company and three brokerage firms that have been expelled from the industry by the Financial Industry Regulatory Authority.     According to publicly available records released by […]

Financial Advisor Sean McCabe (Worden Capital Management, LLC) Customer Complaints

Sean McCabe is a Financial Advisor at Worden Capital Management in Westbury, NY.  Sean McCabe has been in the securities industry since 2008 and previously worked at Four Points Capital Partners.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Sean McCabe has six customer complaint disclosures on his CRD, alleging […]