Articles Posted in Stockbroker Misconduct

William Athes (William Nicholas Athes CRD#: 3165470) is a currently registered broker employed by SW Financial (CRD#: 145012 of Melville, NY.) His previous employers include Worden Capital Management LLC (CRD#:148366), also of Melville, K.C. Ward Financial (CRD#:145135) of Ronkonkoma, NY, and Securities America, Inc. (CRD#:10205) of Port Jefferson, NY. He…

Linda Howard (Linda Karen Howard CRD#: 1922648) is a registered broker and investment advisor currently employed with Edward Jones (CRD#:250) of San Antonio, TX. Her previous employers include BA Investment Services, Inc. (CRD#:12965) of Oakland, CA and Invest Financial Corporation (CRD#:12984) of Appleton, WI. She has been in the industry…

Gregory Williams (Gregory Jon Williams, CRD# 1561089) is a previously registered broker and investment advisor whose last known employer was Forta Financial Group, Inc. (CRD#:28784) of Greenwood Village, CO. His previous employers include Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. (CRD#:7059) of Denver, CO, and Banc One…

David Bibo (David Omori Bibo CRD#: 2602436) is a registered broker currently employed with WESTERN INTERNATIONAL SECURITIES, INC. (CRD#: 39262) of San Jose, CA. He was previously employed with Myclearing.Com (CRD#:104161) and Interfirst Capital Corporation (CRD#:7659), both of Los Angeles, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of…

Wayne Miller (Wayne Ivan Miller CRD#: 4813645) is a registered broker and previously registered investment advisor currently employed with Aeon Capital Inc. (CRD#: 164004) of Scottsdale, AZ. His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc.…

James Couture (James Kenneth Couture CRD#: 4460284) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Worchester, MA. His previous employers included Lincoln Financial Securities Corporation (CRD#:3870), also of Worchester, MA, New England Securities (CRD#:615) of New York, NY, and Morgan…

Edward Matthes (Edward Earl Matthes CRD:# 2788055, aka “Ed Matthes”) is a former registered broker and investment advisor whose last known employer was Mutual Of Omaha Investor Services, Inc. (CRD#:611) of Oconomowoc, WI. Previous employers include Thrivent Investment Management Inc. (CRD#:18387), also of Oconomowoc, MML Investors Services, Inc. (CRD#:10409) of…

Timothy Engelmann (CRD#: 4933563 Timothy Aaron Engelmann) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Albuquerque, NM. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) and Wells Fargo Advisors, LLC (CRD#:19616), also of Albuquerque, and Wells…

Pratul Agnihotri (CRD#: 4031797, aka “Victor Agnihotri”) is a previously registered broker whose last known employer was SW Financial (CRD#:145012) of Melville, NY. His previous employers included Spartan Capital Securities, LLC (CRD#:146251) of New York, NY, Aegis Capital Corp. (CRD#:15007) of Melville, NY, and Gunnallen Financial, Inc (CRD#:17609) of New…

Narinder Singh (Narinder Kaur Singh CRD:# 3100308, aka “Narinder Dutt”) is a previously registered broker whose last known employer was Farmers Financial Solutions, LLC (CRD#:103863) of Sacramento, CA. Her previous employers include Proequities, Inc. (CRD#:15708), Transamerica Financial Advisors, Inc (CRD#:16164) and Oneamerica Securities, Inc. (CRD#:4173), all of Elk Grove, CA.…