Pharmaceutical Archives - Wolper Law Firm, P.A.

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SEC Suspends Former Financial Advisor Robert Gleason Jr. for Violating Best Interest Obligation

April 29, 2024

Robert S. Gleason Jr. (CRD#: 1415067) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1985, and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Advest, Inc.; H&R Block Financial Advisors, Inc.; Raymond James & Associates, Inc.; Ross, Sinclaire & Associates, LLC; Cantella & Co.Inc..; […]

SEC Suspends Financial Advisor Larry Michaels for Trading without Customer’s Written Authorization

April 29, 2024

Larry Joseph Michaels (CRD#: 4351477) is a registered Broker and Financial Advisor with Crown Capital Securities, L.P., in Orange, CA. Broker’s Background He entered the securities industry in 2001, and previously worked with Prudential Securities Incorporated; Pruco Securities Corporation; New England Securities; Crown Capital Securities, L.P.; J.P Turner & Company, LLC; and Legacy Advisory […]

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Tag: Pharmaceutical

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