Fired Brokers Archives - New York Investment Fraud Lawyer

Cody Anderson Fired from Equitable Advisors

Nov 14, 2024 Fired Brokers

Cody Anderson (CRD #: 5999762), a broker formerly registered with Equitable Advisors, was fired from that firm, according to his BrokerCheck record, accessed on November […]

Mei Davidson Terminated by MSWM

Oct 21, 2024 Fired Brokers

Mei Davidson (CRD #: 6787550) has been fired by MSWM and has had conditions placed on her Massachusetts license. This disclosure appears on his BrokerCheck […]

Shailesh Negandhi Reprimanded by Texas State Securities Board

Oct 11, 2024 Fired Brokers

Shailesh Negandhi (CRD #: 4897340), a previously registered broker with UBS Financial Services, is the subject of a regulatory action in Texas. This disclosure appears […]

John Polemis Fired by Stirlingshire BD

Oct 4, 2024 Fired Brokers

John Polemis (CRD #: 4270012) has been fired by Stirlingshire BD. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading […]

Mark Sorrell Terminated by Merrill Lynch, Pierce, Fenner & Smith

Oct 4, 2024 Fired Brokers

Mark Sorrell (CRD #: 1206577) has been fired by Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on October […]

Richard Nguyen Terminated by Jefferies LLC

Oct 4, 2024 Fired Brokers

Richard Nguyen (CRD #: 7564566) was fired by Jefferies LLC. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading if […]

Margaret Draughon Fired by LPL Financial

Oct 4, 2024 Fired Brokers

Margaret Draughon (CRD #: 4783869) has been fired by LPL Financial. This disclosure appears on her BrokerCheck record, accessed on October 4, 2024. Keep reading […]

Jesus Cantu Terminated by JP Morgan Chase Bank

Oct 4, 2024 Fired Brokers

Jesus Cantu (CRD #: 7599050) has been fired by JP Morgan Chase Bank. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. […]

Wendy Stocker Fired by Morgan Stanley

Oct 4, 2024 Fired Brokers

Wendy Stocker (CRD #: 2127664) has been fired by Morgan Stanley. This disclosure appears on her BrokerCheck record, accessed on October 4, 2024. Keep reading […]

Juan Uribe Terminated by JP Morgan Chase Bank

Oct 4, 2024 Fired Brokers

Juan Uribe (CRD #: 7856232) has been fired by JP Morgan Chase Bank. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. […]