Articles Posted in Stockbroker Misconduct

Keith Simmons (Keith Frederick Simmons CRD: #730619) is a broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miami, FL. He has been with Merrill Lynch since 1981, and is registered in 30 states. Simmons is the subject of a customer dispute filed on 5/29/2020…

Broker Troy Goldberg (CRD#: 2342989) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD#: 7569) of Boca Raton, FL. Previous employers include Brookshire Securities Corporation (CRD#:44347) and Newbridge Securities Corporation (CRD#:104065), both of Fort Lauderdale, FL and Preferred Securities Group, Inc. (CRD#:35704), also of Boca…

Stuart Pearl (Stuart L. Pearl CRD#: 1500833, aka “Stu Pearl”) is a currently registered investment advisor and previously registered broker whose last known employment was with David A. Noyes & Company (CRD#:205) of Indianapolis, IN. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup…

Cynthia Cowden (Cynthia Diane Cowden CRD#: 2054676) is a former registered broker and investment advisor whose last known employer was NPB Financial Group, LLC (CRD#:137743) of Lake Isabella, CA. Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. (CRD#:46214), also of Lake Isabella, and Advantage Capital…

Forrest Jones (Forrest Andrew Jones, CRD# 4880765) is a former registered broker and investment advisor whose last known employer was Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Conroe, TX. His previous employers include Fortune Financial Services, Inc. (CRD#:42150) of Montgomery, TX, McNally Financial Services Corporation (CRD#:121196) of The…

Michael Pina (Michael Kris Pina CRD#: 5922058) is a former registered broker whose last known employer was PFS Investments Inc. (CRD#:10111) of Fort Lauderdale, FL. He has been in the industry since 2011, and began working with PFS in 2013. A client filed a dispute on 2/4/2019 alleging that she…

Roger Duval (Roger Allen Duval CRD#: 2503718) is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. (CRD#:5685) of Bellevue, WA.  His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. (CRD#:14251) both of Spokane, WA, and Allstate Financial Services,…

Peter Ianace (Peter Vincent Ianace CRD#: 3238078) is a formerly registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Plano, TX. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and…

Michael Martino (Michael Christopher Martino CRD#: 2579146) is a currently registered broker with Four Points Capital Partners LLC (CRD#: 43149) of New York, NY. His previous employers include Wedbush Securities Inc. (CRD#:877) of Tarrytown, NY, Brookstreet Securities Corporation (CRD#:14667) of White Plains, NY, and Emerson Bennett & Associates (CRD#:36171, expelled by…

Broker Matthew Platnico (Matthew Eric Platnico CRD:#2102086) is a registered broker and investment advisor currently employed with Allied Millennial Partners, LLC (CRD#: 16569) of New York, NY. As an investment advisor he is registered with Millennial Advisers, LLC. (CRD#:170847), also of New York City. His previous employers include Arete Wealth…