Nisreen Byrne (CRD# 2223199) is a registered broker and investment advisor at J.P Morgan Securities LLC Broker’s Background Nisreen Byrne entered the securities industry in 1992. She previously worked at Chase Investment Services Corp.; Banc One Securities Corp.; First Chicago NBD Investment Services, Inc.; and Essex National Securities, Inc. Current and Past Allegations of Conduct […]

Elba Nogueras (CRD#:4459340) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2002 and previously worked for First Southern, LLC; Kovack Securities Inc.; UBS Financial Services, Inc; UBS Financial Services Incorporated of Puerto Rico; and R-G Investments Corporation.   Allegations of Misconduct According to publicly available records […]

Christopher Nelson Kirkland (CRD#: 5602044) is a registered broker and investment advisor at Avantax Investment Services, Inc., in Atlanta, Georgia.   Broker’s Background Christopher Kirkland entered the securities industry in 2008. He previously worked for LPL Financial, LLC; IFG Advisory, LLC; Legacy Capital Advisors, LLC; and Ameriprise Financial Services, Inc.   Current Allegations of Conduct […]

Mary Ann Best (CRD#: 4389355) is a registered broker and investment advisor at Sanford C. Bernstein & Co., LLC and AllianceBernstein L.P in Washington, D.C.   Broker’s Background Mary Best was first registered with FINRA in 2001. She previously worked at J.P Morgan Securities LLC.   Current Allegations of Conduct Leading to Investment Loss According […]

John P. Franzino (CRD#:4734949) is a registered broker at Ameritas Investment Company, LLC., in Massapequa, NY. Broker’s Background John Franzino entered the securities industry in 2004 and has previously worked at MML Investors, LLC; MSI Financial Services, Inc; and NYLIFE Securities, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

Mark Gillelen (CRD#: 1868626) is a registered broker and Investment Advisor at LPL Financial LLC in Redwoord City, CA. Broker’s Background He entered the securities industry in 1989 and previously worked for Cetera Investment Advisers, LLC; First Allied Securities, Inc; First Allied Advisory Services, Inc; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; Banc […]

Viqas Akhtar (CRD#: 5624412) is a registered broker at B. Riley Wealth Management in Miami, FL. Broker’s Background Viqas Akhtar entered the securities industry in 2009 and he previously worked for National Securities Corporation; VFinance  Investments, Inc.; and Rockwell Global Capital LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly […]

John Sommo (CRD#: 3141638) is a previously Registered Broker. Broker’s Background He entered the securities industry in 1998 and previously worked for Dean Witter Reynolds, Inc.; Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and UBS Financial Services, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by […]

Lawrence William Catena (CRD#: 2037155) is a Registered Broker and Investment Advisor at Morgan Stanley in Naples, FL. Broker’s Background He entered the securities industry in 1990 and previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated; and McLaughlin, Piven, Vogel Securities. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Joel Farnsworth (CRD#: 1980052) is a registered broker at Wedbush Securities Inc. Broker’s Background He entered the securities industry in 1989 and previously worked for First Wall Street Corp.; Miller & Schroeder Financial Inc.; Smith Barney, Harris Upham & Co., Incorporated; Wulff, Hansen & Co.; Gruntal & Co. Incorporated; and Bear, Stearns & Co. Inc. […]