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Tag: Churning

Financial Advisor Bernard Jasmin Subject of Two Complaints involving Churning and Unauthorized Trading

Bernard F. Jasmin (CRD#: 4442394) is a previously registered broker.   Broker’s Background He entered the securities industry in 2002 and previously worked with J.P Turney & Company, LLC; National Securities Corporation; Aura Financial Services, Inc.; Empire Asset Management Company; and PHX Financial, Inc.   Current and Past Allegations of Conduct Leading to Investment Loss […]

Financial Advisor Gary S. Costello Has Five Disclosed Customer Complaints

Gary Steven Costello (CRD#:6117388) is a registered broker and investment advisor for Aegis Capital Corp. in Boca Raton, FL   Broker’s Background He entered the securities industry in 2016 and previously worked for Truist Advisory Services, Inc; Oppenheimer & Co. Inc.; Morgan Stanley; and Park Avenue Securities, LLC.   Current and Past Allegations of Conduct […]

Financial Advisor Kurt Cambier is the Subject of Churning Allegations

Kurt Cambier (CRD#: 1392482) is a registered broker and investment advisor at Cambridge Investment Research, Inc. in Littleton, CO. Broker’s Background He entered the securities industry in 1986 and previously worked for Multi-Financial Securities Corporation; MML Investors Services, Inc.; G.R. Phelps & Co., Inc.; Amev Investors, Inc.; Pruco Securities Corporation. Current and Past Allegations of […]

Financial Advisor Stewart Ginn Sanctioned by FINRA for Alleged Churning of Customer Accounts

Stewart Ginn (CRD#: 4503197) is a registered broker at Independent Financial Group, LLC in Encinitas, CA.   Broker’s Background He entered the securities industry in 2002. He previously worked for Navian Capital Securities LLC; Newbridge Securities Corporation; Chicago Investment Group, LLC (FINRA expelled the firm in 2010); Ladenburg Thalmann & Co., Inc; and Ladenburg Capital […]

FINRA Recommends Disciplinary Action Against Financial Advisor Christopher B. Kennedy

Christopher B. Kennedy (CRD#: 4498061) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc; Spartan Capital Securities, LLC; Financial West Group (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]

Registered Broker Gustavo Miramontes has Fourteen FINRA Disclosures

Gustavo Miramontes (CRD#: 2338966) is a registered broker at Oppenheimer & Co. Inc., in Los Angeles, CA. Broker’s Background He entered the securities industry in 1996. He previously worked for Wedbush Securities, Inc.; Wells Fargo Advisors, LLC; Southwest Securities, Inc; and M.L Stern & Co., LLC. Current and Past Allegations of Conduct Leading to Investment […]

Financial Advisor Bryan Lubitz Has Disclosed Six Customer Complaints

Bryan Lubitz (CRD#: 4381244) is a registered Broker at Equitable Advisors, LLC in Woodbury, NY. Broker’s Background He entered the securities industry in 2001 and previously worked for Aegis Capital Corp.; Newbridge Securities Corp.; and Trident Partners, Ltd. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Lon Faccini, Jr. Suspended by FINRA After Allegations of Churning

Lon Faccini, Jr. (CRD#: 2736849) is a previously registered Broker. Broker’s Background He entered the securities industry in 1996 and previously worked for Arive Capital Markets; Cape Securities, Inc.; Liberty Partners Financial Services, LLC; J.W. Cole Financial, Inc.; J.P. Turner & Co., LLC; LH Ross & Co., Inc.; Continental Broker-Dealer Corp.; Gunnallen Financial, Inc.; Seaboard […]

Financial Advisor Leonid Yurovsky Suspended by FINRA

Leonid Yurovsky (CRD#: 4554905) is a registered Broker at Joseph Stone Capital, LLC in Mineola, NY. Broker’s Background He entered the securities industry in 2002 and previously worked for PHX Financial, Inc.; National Securities Corporation; John Thomas Financial; Laidlaw & Company (UK) LTD.; Gunnallen Financial, Inc.; J.P. Turner & Company, LLC; LaSalle St. Securities, LLC; […]

Financial Advisor Mirsad A Muharemovic Suspended by FINRA

Mirsad Muharemovic (CRD#: 3122589) is a previously registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Arrive Capital Markets; Cape Securities, Inc.; J.P. Turner & Company, LLC; American Express Financial Advisors, Inc.; IDS Life Insurance Company; Newbridge Securities Corporation; Milestone Financial Services, Inc.; Seaboard Securities, Inc.; and Gilford Securities, […]