Articles Posted in Broker Permanently Barred

Kyusun Kim (CRD #2864085) is a registered investment advisor and previously registered broker, last employed and registered with Sandlapper Securities, LLC, of San Diego, CA. (He is also known as “Kyu Sun Kim” or “Kenny Kim.”) Kim’s previous employers include Independent Financial Group, LLC (CRD #7717), Lincoln Financial Advisors Corporation…

James Edward Knee (CRD #1852920) is a former registered broker and investment advisor who was last employed with Voya Financial Advisors, Inc. (CRD #2882) of Concord, NH. He was previously employed by Ameriprise Financial Services, Inc. (CRD #6363), Investors Capital Corp. (CRD #30613) and Cambridge Investment Research, Inc. (CRD #39543),…

Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. (CRD #705) of Palm Beach Gardens, FL. He was previously employed by Morgan Keegan & Company, Inc. (CRD #4161) of Jupiter, FL and First Financial Equity Corporation…

Paul Joseph Prestia (CRD #4477149) is a former registered broker whose last employer was Laidlaw & Company (UK) Ltd. (CRD #119037) of Melville, NY. His previous employers include Network 1 Financial Securities Inc. (CRD #13577) of Huntington Station NY and MidAmerica Financial Services, Inc. (CRD #47351.) No current employment information…

Former broker and investment advisor Meaghan Marie Johnson (CRD #5754123) has been barred by FINRA after customers filed eight complaints in 2017. She was previously employed by Northwestern Mutual Investment Services, LLC (CRD #2881) of McLean, VA, and briefly by Signator Investors, Inc. (CRD #468) of Vienna, VA. She resigned…

What the new code of conduct rule entails and how it could affect elderly investors Up until earlier this year, the Department of Labor had a rule in effect for fiduciaries that specified that they couldn’t earn commissions unless the advice they offered was in the best interests of their…

Ernest Julius Romer III (CRD #2311741) is a former registered broker and investment broker, last employed with CoreCap Investments, Inc. (CRD #37068) of Sterling Heights, MI. Previous employers include L.M. Kohn & Company (CRD #27913) and Leonard & Company (CRD #36527), both of Sterling Heights, and Comerica Securities (CRD #17079)…

FINRA has barred former financial advisor and broker Scott Palmer (CRD #817586) after multiple customer disputes. His last employer was Janney Montgomery Scott, LLC (CRD #463) of Hackensack, NJ, from 03/02/2007 to 06/13/2017. He was allowed to resign after “Loss of Confidence related to complaint disclosure history.”   Palmer is…

Former UBS broker John Maccoll (CRD #839441) has been indefinitely barred from affiliation with any FINRA member in any capacity as of 07/02/2018. His most recent employer was UBS Financial Services Inc. (CRD #8174) of Birmingham, MI. Previously, he was employed with Morgan Stanley DW Inc. (CRD #7556) of Purchase,…

FINRA has barred former registered broker Gregory Alan LeVine (CRD #2401300) indefinitely on 04/09/2018, after he failed to respond to a request for information. LeVine is currently not registered with any FINRA member. His last employer was First Allied Advisory Services, (CRD #32444) of Fort Lauderdale, FL, where he is…