Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2018 indicate that former California-based EK Riley Investments broker/adviser Leslie Koonce has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have…

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Thomas Martin (CRD#: 4500330), a broker with EK Riley Investments, LLC (CRD#: 121003) in Santa Fe, New Mexico, has been suspended from the securities industry, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Thomas Martin’s suspension from the securities industry? Thomas Martin was terminated from Edward Jones on…

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