Jacob Perry Cazier (CRD#: 6904198) is a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2018 and previously worked for Allegis Investment Services, LLC; J.W. Cole Financial, Inc.; and Oak Lane Advisors. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Teresa Douberly (CRD#: 2477566) was previously registered as a Broker and Investment Advisor. Broker’s Background She entered the securities industry in 1994 and previously worked for Sagepoint Financial, Inc.; Aegis Capital Corp.; MetLife Securities, Inc.; VFinance Investments, Inc.; Commonwealth Financial Network; Hunter Scott Financial, LLC; Royal Alliance Associates, Inc.; Morgan Stanley DW, Inc.; JWGenesis Securities, […]

Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD No. 7691) is a long-term member of FINRA for more than 80 years, and recently resolved a FINRA investigation involving its failure to supervise mutual fund transactions between 2015 and 2021. The FINRA sanction imposes a censure and directs Merrill Lynch to pay $13.4M in restitution plus […]

Barbaraann Bernatzky (CRD#: 2535421), also known as Barbara Ann Bernatzky, is a previously registered Broker. Broker’s Background She entered the securities industry in 1994 and previously worked for Henley & Company, LLC; Prime Capital Services, Inc.; Raymond James Financial Services, Inc.; and Robert Thomas Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment […]

Eric Nicolassy (CRD#: 6244539) is a registered Broker at Network 1 Financial Securities, Inc., in Red Bank, NJ. Broker’s Background He entered the securities industry in 2020 and only has been registered with Network 1 Financial Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Chad Barancyk (CRD#: 4921433) is a dually registered Broker and Investment Advisor at Great Point Capital, LLC in Chicago, IL. Broker’s Background He entered the securities industry in 2005 and previously worked for Great Point Advisors, LLC; Cetera Investment Advisers, LLC; First Allied Securities, Inc.; First Allied Advisory Services, Inc.; and SII Investments, Inc. Current […]

Robert P. Foley (CRD#: 6060234) is a registered Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2012 and previously worked for Wynston Hill Capital, LLC; Maxim Group, LLC; Pruco Securities, LLC; and Metlife Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

Ronnie Metcalf (CRD#: 1280602), also known as Ronald D. Franklin Metcalf, Jr. is a dually registered Broker and Investment Advisor at Cetera Advisor Networks, LLC in Greenville, SC. He entered the securities industry in 1986 and previously worked for Voya Financial Advisors, Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Rebecca Belicek (CRD # 2106922) is a Financial Advisor at Dawson James Securities, Inc. in New York, NY. Rebecca Belicek has been in the securities industry since 1991 and previously worked at 13 different brokerage firms including 6 firms that have been expelled by FINRA. According to publicly available records released by the Financial Industry […]

David Krumrey (CRD # 4121845) was a Financial Advisor at Oppenheimer & Co., Inc. in the Woodlands, Texas. David Krumrey has been in the securities industry since 2000 and previously worked at the Stanford Group Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 3, 2018, FINRA sanctioned […]