Gary Forrest Allegedly Sells Non-Traded REITs Associated With An Enourmous Ponzi Scheme

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Gary Forrest was a Michigan based securities broker. He worked in the securities industry for thirty-one years. During his career, he was registered with three different securities firms. His registrations included; Roney & Co. (1985-1988), Raymond James & Associates (1998-2007), and American Portfolios Financial Services (2007-2016). He is no longer working as a registered securities broker in any fashion. Gary Forrest’s publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in April 2019. The findings in this matter state that he took part in selling promissory notes related to the Woodbridge Group of Companies. The Woodbridge Group…

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James Eichner Allegedly Trades His Clients’ Accounts Excessively

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James Eichner was a New York based securities broker. He worked in the securities industry for eighteen years. During his career, he was registered with seven different securities firms. His registrations included; Ladenburg Capital Management (2000-2001), Harrison Securities (2001-2003), Joseph Stevens & Company (2003-2004), S.W. Bach & Company (2004-2005), S.W. Bach & Company (2005-2006), National Securities Corporation (2006-2018), and Allied Millennial Partners (2018-2019). He is no longer working as a registered securities broker in any fashion. James Eichner’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In December 2008,…

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John Ernst Allegedly Takes Part In Selling Private Securities Associated With A Massive Ponzi Scheme

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John Ernst was a California based securities broker. He worked in the securities industry for twenty-eight years. During his career, he was registered with eight different securities firms. His registrations included; The Prudential Insurance Company of America (1989-1992), Pruco Securities Corporation (1989-1992), John Hancock Distributors (1992-1994), Guardian Investor Services Corporation (1994-1997), SunAmerica Securities (1997-2001), MTL Equity Products (2002-2006), ING Financial Partners (2007-2010), and Foresters Equity Services (2011-2018). He is no longer working as a registered securities broker in any fashion. John Ernst’s publicly available FINRA BrokerCheck report shows that his career came to an end in February 2018 when he…

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Thomas Laws Allegedly Converts Over $1 Million Of Investor Funds For His Own Personal Use

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Thomas Laws was a New Mexico based securities broker. He worked in the securities industry for fifteen years. During his career, he was registered with two different securities firms. They were NYLIFE Securities (2002-2006) and HD Vest Investment Services (2006-2017). He is no longer working as a registered securities broker in any fashion. Thomas Laws’ publicly available FINRA BrokerCheck report shows that he was sanctioned by the United States Securities and Exchange Commission in November 2018. The findings in this matter state that Santa Fe Gold Corporation, a mining company in New Mexico, raised almost $7 million from selling unregistered…

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Bradley Latting Allegedly Converted Funds From An Elderly Customer

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Bradley Latting was an Oklahoma based securities broker. He worked in the securities industry for thirteen years. He spent his entire career registered with State Farm VP Management Corp. (2004-2018). He is no longer working as a registered securities broker in any fashion. Bradley Latting’s publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in April 2019. The findings in this matter state that he alleged failed to comply with an investigation to allegations that he converted funds from an elderly customer. Due to these alleged actions, he was barred by FINRA from acting as a securities…

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Beth Debouvre Allegedly Fails To Perform Due Diligence

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Beth Debouvre was a Michigan based securities broker. She worked in the securities industry for eighteen years. During her career, she was registered with three different securities firms. Her registrations included; Banc One Securities Corporation (1999-2001), D.H. Hill Securities (2001-2003), and IMS Securities (2003-2017). She is no longer working as a registered securities broker in any fashion. Beth Debouvre’s publicly available FINRA BrokerCheck report shows that she received multiple customer complaints over the course of her career. In May 2016, a customer alleged that she breached her fiduciary duty, made unsuitable investment recommendations, failed to perform due diligence, handled their…

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Naveed Khan Pled Guilty To One Count Of Securities Fraud

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Naveed Khan was a New York based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with eight different securities firms. His registrations included; Continental Broker-Dealer Corp. (2003-2004), Ladenburg, Thalman & Co. (2003), National Securities Corporation (2004), J.P. Turner & Company (2004-2006), Great Eastern Securities (2006-2007), Meyers Associates (2007-2009, 2013-2016), JHS Capital Advisors (2009-2010), and Obsidian Financial Group (2011-2013). He is no longer working as a registered securities broker in any fashion. Naveed Khan’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his…

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Bernard Parker Found Guilty Of Securities Fraud

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Bernard Parker was a Pennsylvania based securities broker. He worked in the securities industry for twenty-four years. During his career, he was registered with four different securities firms. His registrations included; First American National Securities (1989-1990), North American Management (1991-1993), Beaconsfield Financial Services (1993-2006), and Edward Jones (2006-2014). He is no longer working as a registered securities broker in any fashion. Bernard Parker’s publicly available FINRA BrokerCheck report shows that he received a complaint in March 2015 from a customer alleging that converted their funds for his own personal use. Due to these allegations, he was later found guilty of…

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Gregg Templeton Allegedly Misuses Customer Funds

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Gregg Templeton was a New York based securities broker. He worked in the securities industry for twenty-one years. During his career, he was registered with nine different securities firms. His registrations included; Royce Investment Group (1993-1994), Gruntal & Co. (1994-1996), State Capital Markets Corporation (1996), First Metropolitan Securities (1996), GKN Securities Corp. (1996-1998), Morgan Stanley (1998-2006), Oppenheimer & Co. (2007-2015), FSC Securities Corporation (2015-2016), and Aegis Capital Corp. (2016). He is no longer working as a registered securities broker in any fashion. Gregg Templeton’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course…

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Clay Hoffman Allegedly Trades Multiple Customers’ Accounts Without Authorization

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Clay Hoffman was a Georgia based securities broker. He worked in the securities industry for fourteen years. During his career, he was registered with four different securities firms. His registrations included; Edward Jones (2001-2007), Merrill Lynch (2007), Suntrust Investment Services (2007-2013), and Summit Brokerage Services (2013-2016). He is no longer working as a registered securities broker in any fashion. Clay Hoffman’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In April 2013, a customer alleged she had no idea what was going on in her account while Hoffman was…

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