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  • Russell L. Forkey Esq.
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• Bayside Wealth Management, L.L.C.
• Boca Raton, Florida, Stock, Private Placement Fraud and Negligent Supervision FINRA Arbitration and Litigation Attorney
• Broker-Dealer Fraud, Misrepresention and Misconduct
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• Bullion Trading Group
• CBG Financial Group, Inc. (CRD #6578, Boca Raton, Florida)
• CFTC and FTC v. American Precious Metals, et.al. Updates.
• CFTC v. American Precious Metals, et.al.
• Commercial Litigation
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• Common and Preferred Stock, Selling Away, Annuity and Negligent Supervision Boca Raton, Florida Fraud and Misrepresentation Lawyer
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• Declaration Supporting FTC's Motion for Summary Judgment.pdf
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• Do the United States Securities Laws Protect Foreign Investors?
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• FINRA SEC and CFTC Rule Watch
  • CFTC Rule Watch
    • 2010
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  • FINRA Rule Watch
    • 2010
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    • Amendment to Definitions in FINRA By-Laws
    • FINRA Rule Relating to an Account Executive Borrowing From or Loaning Money to a Client
    • Guidance on Social Networking Websites and Business Communications
    • Increase Limits to $50,000
    • James Patrick Cross (CRD #1946579, Registered Representative, Nossegem, Belgium)
    • Most Recent FINRA Proposed or Adopted Rules
    • Notice Approving Proposed Rule Change
    • Operations Professionals - FINRA Licensed Broker/Dealers
    • Proposed or Recently Adopted FINRA Rule Changes
    • Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
    • Proposed Rule Change to Amend Definitions in FINRA By-laws.
    • Proposed Rule Change to Amend Portions of FINRA's Code of Procedure
    • Proposed Rule Change to Implement Revolving Door Restrictions
    • Proposed Rule Change to Increase Amend FINRA's Customer and Industry Codes of Arbitration Procedures to Raise Limits of Simplified Arbitration from $25,000 to $50,000
    • Proposed Rule Change to Mediator Selection Process
    • Robert Charles Pollock, Registered Representative, Palm Harbor, Florida
    • Selling Away - A Prohibited Activity - How to Seek to Recover Your Losses
  • SEC Rule Watch
    • 2010
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    • Advisory Performance Fees - Update
    • Most Recent Proposed or Adopted SEC Rule Changes
    • Municipal Securities Rule Making Board - Rule G-17
    • New Accredited Investor Standard
    • SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act
    • SEC Adopts Rule Defining Family Office Under Dodd-Frank
    • SEC Issues Order Raising Performance Fee Rule Dollar Limit to Adjust for Inflation
    • SEC Performance Fees
• Florida Statute 607.1601 - Required Corporate Records
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  • Underwritings: Firm Commitment vs. Best Efforts - What is the Difference?
  • Unsecured Bonds
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• FTC's Motion for Summary Judgment
• FTC Complaint
• FTC Proposed Amended Complaint
• George Abbott Berry, Registered Representative, Tuscaloosa, Alabama
• Guidance on Social Networking
• Has Your Broker Been Sued by FINRA?
• Has Your Broker Been Sued For the Same Thing That Has Happened to You
  • 2010
    • 2010 CFTC Enforcement Actions
    • 2010 FINRA Enforcement Actions
    • 2010 SEC Enforcement Actions
  • 2011
    • 2011 CFTC Enforcement Actions
    • 2011 FINRA Enforcement Actions
    • 2011 SEC Enforcement Actions
  • 2012
    • 2012 CFTC Enforcement Actions
    • 2012 FINRA Enforcement Actions
    • 2012 SEC Enforcement Actions
  • CFTC Enforcement Actions
    • American Precious Metals, LLC.
    • Kastle & Hawke, Inc.
    • Kastle & Hawke, Inc. and its Principals, James A. Ward and Nathaniel R. Walker
    • Most Recent
  • FINRA Enforcement Actions
    • Alan David Goddard Jr. (CRD #3019681, Registered Representative, Boca Raton, Florida)
    • Alan Davidofsky, Registered Representative Delray Beach, Florida
    • Alan English Smith (CRD #2201854, Registered Principal, Los Altos, California)
    • Alan Stuart Pattee (CRD #3002976, Registered Representative, Lake Worth, Florida)
    • Al Joseph Romani (CRD #5000071, Registered Principal, Apopka, Florida)
    • Alonzo Levi Bethea (CRD# 2184794, Silver Springs, Maryland)
    • Amerprise Financial Services
    • Amir Aqeel (CRD #5151040, Registered Representative, Tomrall, Texas)
    • Andrew Joseph Longoria (CRD #2299271, Registered Representative, Hutto, Texas
    • Andrew Vincent Kardish II (CRD #2893973, Registered Supervisor, San Juan Capistrano, California)
    • Antonio Herrero-Rovira, Registered Principal, Rio Piedras, Puerto Rico
    • AOS, Inc. dba TradingBlock (CRD #128605, Chicago, Illinois)
    • Askar Corp. (CRD #7512, Bloomington, Minnesota)
    • AXA Advisors, LLC (CRD® #6627, NewYork, NewYork)
    • Bart Chad Christensen (CRD #2956167, Registered Representative, South Jordan, Utah)
    • Bathgate Capital Partners LLC nka GVC Capital LLC.
    • BATS Trading, Inc. (CRD #136734, Lenexa, Kansas)
    • Bernard Robert Markowitz (CRD# 2414854, Registered Principal, Palm Harbor, Florida)
    • Beta Capital Management, L.P.
    • Beta Capital Management, L.P. (CRD #38964, Miami, Florida)
    • BGB Securities, Inc.
    • BGB Securities, Inc. (CRD #36716, Arlington, Virginia)
    • Bluechip Securities, Inc. Houston, Texas and Muhammad Akram
    • Bradford Keith Dent (CRD #1588966, Registered Principal, Cordova, Tennessee)
    • Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)
    • Brendan Walter Coughlin (Registered Principal, Dallas, Texas) and Henry Deimel Harrison (Registered Principal, Dallas, Texas)
    • Brewer Financial Services, LLC, Chicago, Illinois
    • Brian Edwin Raines Registered Representative, Pickens, South Carolina
    • Brian Reuben Mitchell (Registered Representative, Streetsboro, Ohio)
    • Brian Wade Boppre (CRD #2778187, Registered Principal, Minot, North Dakota)
    • Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida)
    • Brookstone Securities, Inc. (Lakeland, Florida), David William Locy
    • Brookstone Securities, Inc. and David William Locy
    • Bruce Benjamin Katz (CRD #1234370, Registered Representative, Melville, New York)
    • Bryan Lee Addington, Registered Representative, Ethel, Louisiana
    • Bulltick Securities, LLC. (CRD# 132092, Miami, Florida)
    • Cambridge Legacy Securities, L.L.C. and Tommy Edward
    • Canaccord Genuity, Inc. f/k/a Canaccord Adams, Inc.
    • Carl Henry Blanchard, Reg. Rep., West Roxbury, Mass.
    • Carl Max Birkelbach (CRD #1177843, Registered Principal, Chicago, Illinois) and William James Murphy
    • Carlos C. Sarmiento Jr. (CRD #5003883, Registered Representative, San Antonio, Texas
    • Carty & Company, Inc. (CRD #7001, Memphis, Tennessee)
    • Cesar Madrigal, Registered Representative, Deer Park, Texas
    • Chad R. Duncan, Registered Principal, Hermitage, Pennsylvania
    • Charles Bacon Rowley, III (CRD# 842096 Registered Principal) Waltham, Massachusetts
    • Charles Fiorucci
    • Charles Hyman Brown, Registered Principal, Coconut Creek, Florida
    • Charles William Kromer Jr. (CRD #1068867, Registered Representative, Cincinnati, Ohio)
    • Chenying Lee Williamson
    • Cheryl Ann McMahon (CRD #3009145, Registered Representative, Indianapolis, Indiana)
    • Cheryl Ann Villani (CRD #4662140, Registered Representative, Brookline, New Hampshire)
    • Christian Genitrini, Registered Representative, New York, New York
    • Claude Steven Mosley, Registered Rep., Myrtle Beach, South Carolina
    • Cleves Richard Delp (CRD #2368975, Registered Principal, Holland, Ohio)
    • Clyde Allen Benninghoff (CRD #18463, Registered Principal, Amelia Island, Florida)
    • Cohen & Company Securities, LLC, Philadelphia, Pennsylvania
    • Continental Investors Services, Inc. (CRD #29775, Longview, Washington)
    • Corey Vernon Darling (CRD #4005873, Registered Representative, Anacortes, Washington)
    • Couch Financial Services, Inc., CRD #130559, Dallas, Texas
    • CP Capital Securities, Inc. (CRD #15029, Miami, Florida)
    • Craig Michael Bettencourt, Registered Representative, Concord, Massachusetts
    • Credit Suisse Securities (USA) LLC (CRD #816, New York, New York)
    • Cynthia Ann Bulinski, Registered Representative, Annapolis, Maryland
    • DaLean Annette Rials, Registered Supervisor, Clearwater, Florida
    • Dale David Twardowski (CRD #4056379, Registered Principal, Palm Harbor, Florida)
    • Daniel Bull (CRD# 5495145, Registered Represented, Pittsbury, Pennsylvania)
    • Daniel Edward Becerril II (Registered Representative, Huntington Beach, California, formerly licensed with Veritrust Finanical, LLC.)
    • Daniel Joseph Voccia II (CRD #2691802, Registered Principal, Calverton, New York)
    • Dante Thomas Garcia DeMiro (CRD #2674582, Registered Principal, Milford, Michigan)
    • Darrell Eugene Fox (CRD #1360248, Registered Representative, Lima, Ohio)
    • Darren Joseph Dietrich, formerly licensed with Brookstone Securities, Inc.
    • David Alan Schams (CRD #1587140, Registered Representative, Alma, Wisconsin)
    • David Allen Naefke, Registered Representative, Palm Beach Gardens, Florida
    • David Angelo Maltese (CRD #2562471, Registered Representative, Boca Raton, Florida)
    • David Conner
    • David Contreras
    • David Earl Tillson, Registered Principal, Carencro, Louisiana
    • David Gustav Much (CRD# 4095088, Registered Representative, Los Angeles, California)
    • David Jacob Herzog, Registered Representative, Houston, Texas
    • David Lee Cheviron (CRD #4031542, Registered Principal, Massillon, Ohio)
    • David Lerner & Associates
    • David Lerner & Associates FINRA Complaint
    • David Leroy Carlson (CRD #1071647, Registered Representative, Simi Valley, California)
    • David Scott Isolano, Registered Principal, Lackawaxen, Pennsylvania
    • David William Dube, Registered Principal, St. Petersburg, Florida
    • Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Polliak and Douglas Fulton Kaiser
    • Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)
    • Dennis O’Neal Blackstone, Registered Principal, Arlington, Texas
    • Dennis Stanley Kaminski (CRD #1013459, Registered Principal, Wellington, Florida)
    • Deutsche Bank Securities Inc. New York and Adrienne Tubridy
    • Devin Raj Anand (CRD #5160369, Registered Representative, Calabasas, California)
    • Devon Coulin McLean, Registered Representative, Homestead, Florida
    • Donald Anthony Duarte Jr. (CRD #2879683, Registered Representative, La Puente, California)
    • Donald Barry Weidenfeld, Registered Principal, Del Ray Beach, Florida
    • Douglas Christopher Green, Registered Principal, Lighthouse Point, Florida
    • Earnest Flowers III
    • Edgar Rhodes Hauser Jr. (CRD #723243, Registered Representative, Livingston, Alabama)
    • Elva Luz Solis (CRD #5527297, Registered Representative, Dodge City, Kansas)
    • Eric Lawrence Bloom (CRD #1742255, Registered Principal, Boca Raton, Florida)
    • Ernest Evan Bridges, Sr. (CRD# 5643149, Cheltenham, Maryland)
    • Euro Pacific Capital, Inc. (CRD #8361, Westport, Connecticut)
    • Evan Seth Rosenfeld, Registered Representative, Jericho, New York
    • Evan Taber, Registered Representative, Plantation, Florida
    • Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida)
    • Evely de Jesus Vivenes de Villalon, Caracas Mirowda, Venezeula
    • Faran S. Kassam (CRD #4816180, Foreign Associate, London, England)
    • Felipe J. Lorie, Registered Representative, Coral Gables, Florida
    • Felipe J. Lorie (CRD #1861011, Registered Representative, Coral Gables, Florida)
    • Fidelity Brokerage Services LLC, Smithfield, Rhode Island
    • Fidelity Brokerage Services LLC (CRD #7784, Smithfield, Rhode Island)
    • Finance 500, Inc. (CRD# 12981, Irvine California), Paul John Savage (CRD# 1722830, Registered Representative, Coto De Caza, California) and Thomas John Harm (CRD# 2093335, Registered Representative, Ladera Ranch, California)
    • FINRA Encorcement Actions - March, 2011
    • FINRA Enforcement Actions - April, 2011
    • FINRA Enforcement Actions - August, 2011
    • FINRA Enforcement Actions - December, 2010
    • FINRA Enforcement Actions - December, 2011
    • FINRA Enforcement Actions - February, 2011
    • FINRA Enforcement Actions - January, 2010
    • FINRA Enforcement Actions - January, 2011
    • FINRA Enforcement Actions - January, 2012
    • FINRA Enforcement Actions - January and February, 2011
    • FINRA Enforcement Actions - July, 2011
    • FINRA Enforcement Actions - June, 2011
    • FINRA Enforcement Actions - May, 2011
    • FINRA Enforcement Actions - November, 2011
    • FINRA Enforcement Actions - October, 2011
    • FINRA Enforcement Actions - September, 2011
    • Firms Sanctioned for Selling High Risk Private Placements - Equity Services, Inc., Next Financial Group, Inc., Investors Capital Corporation, Garden State Securities, Inc., Capital Financial Services, National Securities Corporation, Securities America and Newbridge Securities Corporation
    • First American Capital and Trading Corporation, Boca Raton, Florida
    • FMSbonds, Inc., Boca Raton, Florida
    • FMSbonds, Inc. (CRD #7793, Boca Raton, Florida)
    • Fox Financial Management Corporation (CRD® #134277, Carrollton, Texas)
    • Frank A. Gutta aka Fazel A. Gutta (CRD #1705545, Registered Representative, Plantation, Florida)
    • Frank Anthony Perrotto Registered Representative, Janesville, Wisconsin
    • Frank Bianculli (CRD #5452027, Registered Representative, Plainview, New York)
    • Gary Chew
    • Gary Harrison Lane (CRD #713745, Registered Representative, Reno, Nevada)
    • Gary Ray Fournier (Registered Representative, Rolling Hills, California)
    • Geoffrey Richards Securities Corp.
    • George Henry Martin (Registered Principal, Sunny Isles Beach, Florida)
    • Gifford Keith Jordan
    • Global Strategic Investments, LLC (CRD #117028, Miami, Florida) and Cesar Gabriel Hernandez (Registered Principal, Miami, Florida)
    • Gregory Allan Baldwin (CRD# 1856003, Registered Principal, Hendersonville, North Carolina)
    • Gregory James Buchholz, Bridgewater, Connecticut
    • Guy Eugene Richardson (CRD #2926034, Registered Representative, Topeka, Kansas)
    • Hantz Financial Services, Inc. (CRD #46047, Southfield, Michigan) and Bruce FrederickColeman (CRD #50684, Registered Principal, Ann Arbor, Michigan)
    • Harry Alexander Mullen Jr., Registered Representative, Marietta, Georgia
    • Hernan Esteban Arbizu, Registered Representative, Fairfield, Connecticut
    • Hsin-Chuan Hsu aka Henry Hsu (Registered Representative, Marlboro, New Jersey)
    • Institutional Capital Management, Inc. (CRD #41055, Houston, Texas) and Daniel Lee Ritz Jr.
    • Internet Securities (CRD #102800, Oakland, California) and Michael Wayne Beardsley
    • InterSecurities, Inc. nka Transamerica Financial Advisors, Inc.
    • Investors Capital Corp. (CRD #30613, Lynnfield, Massachusetts)
    • Irving Louis Adler, Registered Representative, Braintree, Massachusetts
    • Isaiah Solomon (CRD #1112800, Registered Representative, Mitchellville, Maryland)
    • iTRADEdirect.com Corp., Boca Raton, Florida
    • iTRADEdirect.com Corp. (CRD® #18281, Boca Raton, Florida)
    • J.J.B. Hilliard,W.L. Lyons, LLC (CRD #453, Louisville, Kentucky)
    • J.P. Morgan Securities, LLC. (CRD# 79, New York, New York)
    • J.P. Turner & Company, LLC (CRD #43177, Atlanta, Georgia) and James Edward McGrath
    • Jaime Xavier Coronado (CRD #4001702, Registered Representative, Friendswood, Texas)
    • James Clement Hanrahan (CRD #5487504, Registered Representative, Alpharetta, Georgia)
    • James Jerome Heffers Sr., Reg. Rep., Kingston, Pennsylvania
    • James Joseph Ahmann (CRD #2983399, Registered Representative, Bloomingdale, Illinois)
    • Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, Florida)
    • Jan David Henderson (CRD #2401845, Registered Representative, Midway, Utah)
    • Janney Montgomery Scott, LLC, Philadelphia, Pennsylvania
    • Janney Montgomery Scott LLC (CRD #463, Philadelphia, Pennsylvania)
    • Jared Austin Poe (CRD #4884505, Registered Representative, Marina Del Rey, California)
    • Jason Leekarl Beckett, West Columbia, South Carolina
    • Jason Michael Mutascio (CRD# 4156832, Registered Representative, Adventura, Florida)
    • Jason Pedigo (CRD #4952772, Registered Representative, Little Rock, Arkansas)
    • Jason Sean Harrison (CRD #2628373, Registered Representative, Pearland, Texas)
    • Jeffrey L. Larson (CRD #4816797, Registered Representative, Canyon Country, California)
    • Jeffrey Scott Donner (CRD# 2631248, Registered Principal, Weston, Florida)
    • Jennifer Guelinas
    • Jeremy Kelter Registered Representative
    • Jeryl Clegg
    • Jessie Everett Airington (CRD #2097, Registered Principal, Dallas, Texas)
    • Jo Ann Marie Head (CRD #3009195, Registered Representative, Whittier, California)
    • Joel Arthur Hulke (CRD #2333013, Registered Representative, North Mankato, Minnesota)
    • Joey Wade Dean
    • John Brady Benson Sr.
    • John Brian Busacca III (CRD #2302780, Registered Principal, Orlando, Florida)
    • John Christopher Garner (CRD #2842338, Registered Representative, Charleston, West Virginia)
    • John Francis Means (CRD #2263604, Registered Representative, Lutherville, Maryland)
    • John Godfried Croes Jr., Registered Representative, Davie, Florida
    • John Matthew Dwyer III, Registered Representative, Atlanta, Georgia
    • John Michael Leonard (CRD #2254243, Registered Representative, Chicago, Illinois)
    • John Thomas Pappas (CRD #4240283, Registered Representative, Helena, Alabama)
    • John William Grant (CRD #227512, Registered Principal, Escondido, California)
    • Jonathan Clark Peterson (CRD #4199364, Registered Representative, Alpine, Utah)
    • Jorge Ivan Salgado
    • Jose Antonio Rivera, Registered Representative, Fort Myers, Florida
    • Jose Luis Vinas (CRD #4014454, Registered Representative, Houston, Texas)
    • Joseph Alphonse Vitale (CRD #5223467, Registered Representative, Boca Raton, Florida)
    • Joseph Andrew Sugg II (CRD #5061692, Registered Representative, Flower Mound, Texas)
    • Joseph James Sciarra (CRD #1576322, Registered Princiapal, Wellington, Florida)
    • Joseph James Sciarra Jr. (CRD #1576322, Registered Principal, Wellington, Florida)
    • Joseph Scott Coy (CRD# 1811091, Registered Representative, West Des Moines, Iowa)
    • Jose Salvador Rubio (CRD #1854133, Registered Representative, Miami, Florida)
    • Joshua Albert Galiani, Pelham Manor, New York
    • Joshua Daniel Gould, Registered Representative, St. Louis, Missouri
    • Joshua Galiani, Registered Representative, Pelham Manor, New York
    • Jupiter Distribution Partners, Inc., Greenacres, Florida
    • Kevin Leslie Moyer, Registered Principal, Deland, Florida
    • Kevin Seth Baltimore (CRD# 1863517, Registered Principal, Charleston, South Carolina)
    • Kiley Partners, Inc. (CRD #37814, Palm Beach Gardens, Florida)
    • Kim Edward Elverud, Registered Principal, Bloomington, Minnesota
    • Kirk Kenneth Kepper, Registered Representative
    • Kirk Loring Gravelle (CRD #2580309, Registered Representative, Macclenny, Florida)
    • Krittibas Ray (CRD #3039388, Registered Representative, Albany, California)
    • Larrye Alfie Smith, Registered Principal, Miami, Florida
    • Larry Richard Gregory (CRD #2308559, Registered Representative, Norfolk, Virginia)
    • Lazaro E. Salado (CRD #2899323, Registered Representative, Miami, Florida)
    • Legent Clearing LLC, dba Legent Clearing (CRD #117176, Omaha, Nebraska)
    • Leroy Henry Paris II (CRD #1130854, Registered Principal, Jackson, Mississippi)
    • Li Kopp a/k/a Sabrina Kopp, Li Guo and Sabrina Guo (CRD#5096198, Registered Representative, Beijing, China)
    • Linda Louise Johnson
    • Lone Star Securities, Inc. (CRD #20452, Addison, Texas)
    • Lonnie Lee Dusenberry (CRD #3084887, Registered Representative, Elk Grove, California)
    • Lorenzo Fiol Jr. (CRD #2454926, Registered Principal, Morton Grove, Illinois)
    • Louis Robert Porteous III, Registered Principal, South Freeport, Maine
    • LPL Financial Corporation, nka LPL Financial LLC, Boston, Massachusetts
    • M. Paul De Vietien (CRD #1121492, Registered Representative, Tampa, Florida)
    • Mahmood Hasan Usmani, Associated Person, Bartlett, Tennessee
    • Marco Antonio Martin, Registered Representative, Toronto, Canada
    • Mark David Kaufman
    • Mark Mather Mercier (CRD #1884246, Registered Principal, Lutz, Florida)
    • Mark Wayne Mills (CRD# 1277647, Registered Representative, Carmel Indiana)
    • Martin Robert Coyne (CRD #2401192, Registered Representative, Pittsburgh, Pennsylvania)
    • Matthew Crump (CRD #1924664, Registered Principal, Houston, Texas)
    • Matthew Mark Rairigh
    • Merriman Capital, Inc. (CRD# 18296, San Francisco, California)
    • Michael Adam Lichtenstein (CRD #2439244, Registered Representative, Boca Raton, Florida)
    • Michael Anthony Nemcik, Registered Representative, Tampa, Florida
    • Michael Asher Dagnan formerly licensed with Woodbury Financial Services, Inc.
    • Michael Daniel Shaw (CRD #1571907, Registered Representative, Baton Rouge, Louisiana)
    • Michael Douglas Hanke, Registered Representative, Tampa, Florida
    • Michael Jefferson Harper (CRD #4650612, Registered Principal, Coral Springs, Florida)
    • Michael Lewis Serota
    • Michael Steven Jacobson, Registered Representative, Coral Springs, Florida
    • Michael William Bozora (CRD #28009, Registered Principal, Belvedere, California)
    • Michael William Keleher
    • Miguel Alex Rosas (CRD #5159207, Registered Representative, Naperville, Illinois)
    • Miguel Angel Murillo (Registered Representative, Bayshore, New York)
    • Mike Givilancz Jr. (CRD #2141251, Registered Representative, Weslaco, Texas)
    • Monex Securities, Inc.
    • Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York)
    • Morgan Stanley & Co. Incorporated nka Morgan Stanley & Co. LLC
    • Morgan Stanley & Co., Incorporated
    • Most Recent FINRA Enforcement Actions
    • Nathan Eugene Calhoun (CRD #716257, Registered Representative, Little Rock, Arkansas)
    • Nathan Mark Spiegel, Registered Representative, Ankeny, Iowa
    • Newbridge Securities Corporation, Ft. Lauderdale, Florida
    • Newbridge Securities Corporation (CRD #104065, Fort Lauderdale, Florida)
    • Newbridge Securities Corporation (CRD #104065, Ft. Lauderdale, Florida)
    • New FINRA Data Base
    • NEXT Financial Group, Inc., Houston, Texas
    • NFP Securities, Inc.
    • Noble International Investments, Inc. (CRD #15768, Boca Raton, Florida)
    • Norman Lee Kearney, Jr. (CRD# 1665504, Registered Representative, Portland, Oregon)
    • Park Avenue Securities LLC (CRD #46173, New York, New York)
    • Patrick Francis Harte Jr. (CRD #1865650, Registered Principal, Plano, Texas)
    • Patrick Shawn Kennedy (CRD #3005062, Registered Supervisor, Raleigh, North Carolina)
    • Paul James Marshall (Registered Supervisor, Atlanta, Georgia)
    • Paul Leon White II (CRD #4669396, Registered Representative, Huntington, New York)
    • Penena Karpel McRoberts, Registered Representative, Austin, Texas
    • Peraza Capital and Investment, LLC, St. Petersburg, Florida
    • Peter Martin Peterson (CRD #2825535, Registered Principal, Tampa Florida)
    • Phillip Peter Borup (CRD #4446376, Registered Principal, Cameron Park, California)
    • Pinnacle Financial Group, LLC (CRD #131674, Orlando, Florida)
    • Priscilla G. Sabado (CRD #4650234, Registered Representative, Irvine, California)
    • Purshe Kaplan Sterling Investments, Inc.
    • Purshe Kaplan Sterling Investments, Inc. (CRD #35747, Albany, New York)
    • Ralph Howly Phillips (CRD #2145356, Registered Principal, New Kensington, Pennsylvania)
    • Raymond Thomas Blunk (Registered Representative, Carmel, Indiana)
    • RBC Capital Markets, LLC (CRD #31194, New York, New York)
    • Reba Rose Cope, Associated Person, Crossnore, North Carolina
    • Renee Marie Brown (CRD #3221618, Registered Principal, Golden Valley, Minnesota)
    • Ricardo Blanco (CRD #1793188, Registered Representative, Key Biscayne, Florida)
    • Richard A. Garaventa (Associated Person, Dannemora, New York)
    • Richard Arnold Hansen (CRD #236308, Registered Principal, Villanova, Pennsylvania)
    • Richard Byerly (CRD #848070, Reg. Rep, Chester Springs, PA)
    • Richard Henry Elizondo (CRD #2953315, Registered Representative, Harlingen, Texas)
    • Richard Mark McKinnon (Registered Representative, Carmichael, California)
    • Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)
    • Robert Allen Pierce,(CRD #363323, Registered Principal) Battle Ground, Washington
    • Robert Anthony Cataldo (CRD #1056971 Registered Representative, Lexington, Massachusetts)
    • Robert Charles Keane, Registered Principal, Cleveland, Ohio
    • Robert John Clark (CRD# 47828, Vista, California)
    • Robert Joseph Oftring
    • Robert Keys
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