The SEC has filed a complaint in US District Court for the Northern District of Texas, Fort Worth Division against Agridime, LLC, and its co-founders Joshua Link and Jed Wood regarding the sale of unregistered securities called “Cattle Contracts.” In the petition, the SEC alleges that these contracts were simply…
Securities Arbitration Lawyers Blog
Los Bufetes De Abogados Silver Law Group Y David R. Chase Presentan Una Demanda De 2 Millones De Dólares Para Recuperar La Pérdida De Inversión En Northstar Bermuda
Los bufetes de abogados Silver Law Group y David R. Chase P.A. han recuperado millones de dólares para los inversores de Northstar Bermuda en los Estados Unidos y en el extranjero, y recientemente presentaron una reclamación para recuperar una inversión de 2 millones de dólares en nombre de un cliente.…
Former Merrill Lynch Broker William King Subject Of Complaints Relating To Unsuitable Options Trading
William King (William Worthen King CRD# 1432593, aka “Bill King”) is a previously registered broker and investment advisor who spent his entire 37-year career at Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Vero Beach, FL beginning in 1985. King voluntarily resigned from Merrill Lynch on 4/21/2023 after allegations…
Broker Todd Lesk Of Lesk Financial In Coral Springs, Florida Barred By FINRA
Todd Lesk (Todd Michael Lesk CRD# 2788300) is a former registered broker and investment advisor most recently employed with Cambridge Investment Research, Inc. (CRD# 39543) of Coral Springs, FL. His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale,…
FINRA Bars Broker Shane Wilhelm For Failing To Respond To Request For Information
Shane Wilhelm (Shane Collins Wilhelm CRD# 4803933) is a former registered broker and investment advisor last employed with Fortune Financial Services, Inc. (CRD# 42150) of Moneta, VA. His previous employers include Truist Investment Services, Inc. (CRD#:17499), BB&T Securities, LLC (CRD# 142785), and Scott & Stringfellow, LLC (CRD# 6255) all of…
Broker Scott Matalon Barred From Industry After Failing To Provide FINRA Requested Documents
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. His previous employers include Ameriprise Financial Services, Inc. (CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury,…
D. Wray Rodgers Barred By FINRA After Investigation
D. Wray Rodgers (CRD# 2842993, aka, “D Wray Rodgers,” “D. Ray Rodgers,” and Wray Rodgers”) is a former registered broker last employed with Vining-Sparks IBG, LLC (CRD# 27502) and previously employed with ICBA Securities (CRD# 24088), both of Memphis, TN. He has been in the industry since 1997. On 5/20/2022,…
FINRA Bars Broker Randall Skrabonja
Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. His previous employers include Sagepoint Financial, Inc. (CRD# 133763) of Fort Lauderdale, FL, MetLife Securities Inc. (CRD# 14251) of West Palm Beach,…
Broker Jermaine Benjamin Barred By FINRA For Misappropriation And Defalcation
Jermaine Benjamin (CRD# 6152653, Jermaine K Benjamin, Jermaine Kahlil Benjamin) is a former registered broker and investment advisor last employed by Raymond James Financial Services, Inc. (CRD# 6694) of St. Petersburg, FL, and Pruco Securities, LLC. (CRD# 5685) of Tampa, FL. He has been in the industry since 2013. Benjamin…
FINRA Bars Leslie Jackson Following Private Security Transactions
Leslie Jackson (Leslie Don Jackson CRD# 2176917) is a previously registered broker and investment advisor last employed with Momentum Independent Network Inc. (CRD# 17587), of Dallas Texas, where he spent his entire 31-year career. He began in the industry at Momentum in 1991. Momentum discharged Jackson on 12/9/2022 and filed…