Monthly Archives: September 2018
FINRA Bars Invest Financial Corporation Broker Roger Kroeger
Roger Kroeger (CRD: 1526864) is a prior stockbroker of Invest Financial Corporation located in Fort Lauderdale, Florida who Financial Industry Regulatory Authority (“FINRA”) has barred in all capacities pursuant to Letter of Acceptance, Waiver and Consent No. 2017056614402 dated September 5, 2018. According to FINRA Department of Enforcement, Kroeger failed to appear for testimony… Read More »
Morgan Stanley Settles Customer Arbitrations Over Unsuitability
Scott J. Donato (CRD: 2336331) is a prior registered representative of Morgan Stanley from the Miami, Florida area who was terminated on March 21, 2017. He disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have resulted in a customer-initiated investment-related arbitration dated October 27, 2017. The arbitration alleges that Donato engaged… Read More »
Wells Fargo Broker Suspended For Defaulting On Promissory Note
Darren Thomas Walton (CRD: 2936629) is a former registered representative of Wells Fargo Advisors, LLC located in Los Angeles, California. According to Walton’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, he has been suspended in all registration capacities by FINRA on December 1, 2017 for failing to repay a loan to Wells Fargo Advisors,… Read More »
Cetera’s Kerry Shaye Craig Discharged Over Customer Complaints
Kerry Shaye Craig (CRD: 4750237) is a former general securities representative of Cetera Investment Services LLC located in Tyler, Texas. He was employed with the FINRA member brokerage firm until December 6, 2017, at which time he was discharged for becoming subject of several customer complaints. Craig’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile… Read More »
