Peter Ianace (CRD #: 3238078) has been barred by the Financial Industry Regulatory Authority (FINRA) following allegations that he refused to provide documents during the course of a FINRA investigation. This is according to his BrokerCheck record, accessed on September 7, 2020. Even though he has been barred, Mr. Ianace still has a pending customer…

Read More

Jesse Kovacs (CRD #: 5047161), a broker registered with PTS Brokerage LLC, has been suspended by FINRA, according to his BrokerCheck record accessed on September 16, 2020. Have questions about Jesse Kovacs’ record as a broker? There are several disclosures that investors should note. On August 26, 2020, Jesse Kovacs entered into an Acceptance, Waiver…

Read More

William Wimberly (CRD#: 1157038), formerly of LPL Financial LLC (CRD#: 6413) in Jackson, Mississippi, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 1, 2020. What happened to lead to William Wimberly’s suspension? FINRA found that he engaged in undisclosed outside business activities while employed at…

Read More

Mark Lamkin (CRD#: 2121510), a registered representative with Calton & Associates, Inc., (CRD#: 20999) in Louisville, Kentucky, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 15, 2020. What happened to lead to Mark Lamkin’s suspension? Read on to learn more.  On March 30, 2020, Mark…

Read More

Ken Hutkin (CRD#: 1344519), a registered representative with Wedbush Securities Inc. (CRD#: 877) in New York, New York, is currently involved in a pending customer dispute over unsuitable investments. This comes seventeen months after he was terminated from Morgan Stanley Wealth Management for engaging in outside business activities, according to his BrokerCheck record accessed on…

Read More

Pratul Agnihotri (CRD#: 4031797), a registered representative with SW Financial in Melville, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on December 19, 2019. What’s going on? On October 18, 2019, FINRA “made a preliminary determination to recommend that disciplinary action be brought against”…

Read More

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell…

Read More

Robert Henderson Jr. (CRD#: 1160413), CEO of Henderson Group in Miami Lakes, Florida and a 34-year veteran of the securities industry, has been the subject of multiple customer disputes and has multiple judgments/liens against him. He is currently registered with IFS Securities (CRD#: 40375). On July 8, 2019, FINRA, the Financial Industry Regulatory Authority, launched…

Read More