Shane Rene Falcon of Miami, Florida, a stockbroker formerly registered with National Securities Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $95,000.00 in damages based upon allegations that Falcon made unsuitable transactions with regard to the recommendation and sale of private placements when Falcon was…

Chad Ryan Barancyk of Chicago, Illinois, a stockbroker formerly registered with First Allied Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $260,000.00 in damages based upon allegations that Barancyk breached a contract, breached a fiduciary duty, acted negligently, and effected unsuitable transactions in…

Anthony Joseph Graziano of New York, New York, a stockbroker currently registered with Joseph Stone Capital, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity because he failed to supervise stockbrokers who executed excessive transactions in Joseph Stone customer accounts. Letter…

David Aubrey Dunfee of Bangor, Maine, a stockbroker currently registered with Key Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $210,000.00 in damages based upon allegations that Dunfee financially exploited the customer with regard to the recommendation and sale of variable annuities when…

Edward Robert Taliaferro of Chattanooga, Tennessee, a stockbroker formerly registered with J.J.B. Hillard W.L. Lyons LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $6,000.00 in damages based upon allegations that Taliaferro made unsuitable recommendations with regard to the sale of equities when Taliaferro was associated…

Miguel Angel Murillo (also known as Michael Murillo) of New York, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he engaged in unsuitable and excessive trading in Joseph Stone…

Charles William Wodrich of Goodyear, Arizona, a stockbroker formerly registered with Hornor Townsend Kent LLC, is the subject of a customer initiated investment related complaint that was settled on August 8, 2022, for $17,000.00 in damages based upon allegations that Wodrich made unsuitable transactions with regard to the recommendation and sale of variable annuities when…

Michael James May of Mineola, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he made unsuitable and excessive transactions in customer accounts during the time that he was associated…

Nico Joseph Rutella of Castle Rock, Colorado, a stockbroker formerly registered with National Securities Corp, was the subject of a customer initiated investment related FINRA securities arbitration claim which settled for $20,000.00 in damages based upon allegations that Rutella made omissions and misrepresentations, breached a fiduciary duty, acted negligently, and made unsuitable transactions with regard…

David Martin Martirosian of New York, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Martirosian failed to cooperate with FINRA in an investigation relating to excessive and unsuitable trading and selling away while registered with…

Todd Franklin Kling of Aventura, Florida, a stockbroker formerly registered with Joseph Stone Capital LLC, has been suspended for three months by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that Kling made unsuitable and excessive transactions. Letter of Acceptance, Waiver, and Consent No. 2019063821606 (December…

Michael Jeremiah Mooney of Mount Airy, North Carolina, a former investment adviser representative of Southport Capital and stockbroker of Oppenheimer Co. Inc., is the subject of an enforcement action initiated by Securities and Exchange Commission (SEC) in which the regulator is seeking sanctions against Mooney based upon allegations that Mooney violated federal securities laws by…

Bradley Morgan Holts of Denver, Colorado, a stockbroker formerly registered with World Capital Brokerage, has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that Holts failed to respond to the regulator’s request for information. FINRA Case No. 2021071760601 (July 28, 2021). FINRA Public…

Edward Lawrence Turley (also known as Ed Turley) of San Francisco, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $55,615,696.00 in damages based upon allegations that Turley effected unauthorized and unsuitable transactions and made misrepresentations…

Ronald Coy Bailey (also known as Buddy Bailey) of Anchorage, Alaska, a stockbroker formerly registered with NYLife Securities LLC, has been fined $15,000.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member because Bailey engaged in private securities transactions and outside business activities.  AWC No. 2020068006501. (Sept. 9. 2022)….

Thomas Caine Shultz of Scottsdale, Arizona, a stockbroker formerly registered with Coastal Equities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon allegations that Shultz failed to perform due diligence and made unsuitable recommendations with regard to the sale of direct…

Marc Jacob Jacobson of Northbrook, Illinois, a stockbroker formerly registered with Sagepoint Financial Inc. is the subject of a customer initiated investment related complaint on May 18, 2022, in which the customer requested $5,000.00 in damages based upon allegations that Jacobson made misrepresentations with regard to the recommendation and sale of variable annuities when Jacobson…

Michael G. Ferrera of Beverly Hills, California, a stockbroker formerly registered with SagePoint Financial Inc., has been fined $15,000.00 and suspended for two years from associating with any FINRA member in any capacity based upon allegations that Ferrera engaged in an outside business activity. Letter of Acceptance Waiver and Consent No. 2019063639201 (Sept. 1, 2022)….

Mark Alan Kemp of Corpus Christi, Texas, a stockbroker currently registered with McNally Financial Services Corporation, is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $157,600.00 in damages based upon allegations that Kemp made unsuitable recommendations in connection with the sale of reverse convertible securities when Kemp…

Yan Binder of Coral Springs, Florida, a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC, has been fined $10,000.00 and suspended for thirty days from associating with any FINRA member in any capacity based upon allegations that Binder used unauthorized devices to communicate with customers. Letter of Acceptance Waiver and Consent No. 2019064955001…

Ariel A. Rivero of Miami, Florida, a stockbroker formerly registered with Jefferies LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $999,999.00 in damages based upon allegations that Rivero made unsuitable transactions, used the customer’s funds without authorization, failed to supervise, and breached a fiduciary…

Phil Donahue (also known as Joseph Philip Donahue) of Panama City Beach, Florida, a stockbroker currently registered with PFS Investments Inc., has been fined $2,500.00 and suspended for thirty days from associating with any FINRA member in any capacity based upon allegations that Donahue made unsuitable recommendations. Letter of Acceptance Waiver and Consent No. 2020068544901…

Corrie Ann Mitchell (also known as Corrie Ann Box) of San Antonio, Texas, a stockbroker formerly registered with Cambridge Investment Research, has been barred from associating with any FINRA member in any capacity based upon allegations that Mitchell failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022075235602 (Aug. 17,…

Nicholas Richard Palumbo (also known as Nick Palumbo) of Armonk, New York, a stockbroker formerly registered with Park Avenue Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate with FINRA’s investigation into his alleged selling away activities. Letter of Acceptance Waiver…

Daniel T. Minich of Bradford, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been fined $5,000.00 and suspended for four months from associating with any FINRA member in any capacity based upon allegations that Minich engaged in private securities transactions or “selling away.” Order Accepting Offer of Settlement No. 2020066999801 (June 6,…

Ignacio Antonio Perezanta Ordonez of San Antonio, Texas, a stockbroker formerly registered with BBVA Securities Inc., is the subject of a customer initiated investment related complaint on March 23, 2022, in which the customer requested $5,000.00 in damages based upon allegations that Ordonez made unsuitable recommendations in connection with the sale of mutual funds when…

Mark David Martino of White Plains, New York, a stockbroker formerly registered with Ascendant Alternative Strategies LLC, has been fined $5,000.00 and suspended for twenty days from associating with any FINRA member in any capacity based upon allegations that Martino failed to conduct due diligence on a private placement issued by a start-up company. Letter…

Jason Nicholas Slezak of Antioch, Illinois, a stockbroker formerly registered with Landolt Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $25,000.00 in damages based upon allegations that Slezak failed to disclose risks in connection with the recommendation and sale of GWG L Bonds when…

Annetta Marie Box (also known as Annetta Marie Taylor) of Dallas, Texas, a stockbroker formerly registered with Cambridge Investment Research Inc. has been barred from associating with any FINRA member in any capacity based upon allegations that Box failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022075235601 (Aug. 11,…

William Colie Johnson of Greenville, South Carolina, a stockbroker formerly registered with Voya Financial Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $121,500.00 in damages based upon allegations that Johnson made unsuitable transactions with regard to the recommendation and sale of real estate…

Mark Whitney Tuller of Atlanta, Georgia, a stockbroker currently registered with Wells Fargo Clearing Services LLC is the subject of a customer initiated investment related complaint on March 14, 2022, in which the customer requested compensatory damages based upon allegations that Tuller mismanaged the customer’s account in connection with the recommendation and sale of stocks…

John Anthony Orlando of Fort Lauderdale, Florida, a stockbroker formerly registered with Westpark Capital Inc., has been fined $2,500.00 and suspended for ten days from associating with any FINRA member in any capacity based upon allegations that Orlando engaged in excessive trading. Order Accepting Offer of Settlement No. 2019063633301 (Aug. 5, 2022). According to the…

Stephen Patrick Tosha of Dallas, Texas, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is the subject of a customer initiated investment related complaint on February 25, 2022, in which the customer requested compensatory damages based upon allegations that Tosha engaged in unauthorized trading in connection with the sale of foreign securities…

James Robert Pecoraro of Melville, New York, a stockbroker formerly registered with SW Financial has been fined $10,000.00 and suspended for nine months from associating with any FINRA member in any capacity based upon allegations that Pecoraro engaged in quantitatively unsuitable excesive trading in customer accounts. Letter of Acceptance Waiver and Consent No. 2017056820701 (Aug….

Vladislav Michael Romanov of Boston, Massachusetts, a stockbroker formerly registered with Wells Fargo Advisors LLC, is the subject of a customer initiated investment related complaint on February 24, 2022, in which the customer requested $52,000.00 in damages based upon allegations that Romanov placed the customer in underperforming foreign equities when Romanov was associated with Wells…

Robert Charles Mehlin of Fairfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC has been fined $7,500.00 and suspended for three months from associating with any FINRA member in any capacity based upon allegations that Mehlin engaged in unauthorized trading and used unauthorized communications devices to correspond with customers. Letter…

Francis Joseph Velten Jr. of New Port Richey, Florida, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate in a FINRA investigation. Case No. 2020066032801 (July 19, 2022). According to the Default Decision, Velten…

Ernest Grey Frerking (also known as Ernie Frerking) of Austin, Texas, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been barred from associating with any FINRA member in any capacity based upon allegations that Frerking failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2020067267701 (Aug….

Joseph Albert Ambrosole of New York, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been barred from associating with any FINRA member in any capacity based upon allegations that Ambrosole failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2021072773201 (July 28, 2022). According to the…

Brian David Rockowitz of Hauppauge, New York, a stockbroker formerly registered with Aegis Capital Corp., was the subject of a customer initiated investment related FINRA arbitration claim which settled for $19,353.87 in damages based upon allegations that Rockowitz breached a fiduciary duty, breached a contract, and made unsuitable transactions in connection with the recommendation and…

Richard Aloysius Hogan of San Francisco, California, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been fines and suspended by FINRA for the unapproved sale or referral of a customer to a hedge fund.  Letter of Acceptance Waiver and Consent No. 2019064715701. According to the AWC, from October 2017 to August…

Robert Patrick Macnamee of Red Bank, New Jersey, a stockbroker formerly registered with Aegis Capital Corp., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $18,840.85 in damages based upon allegations that Macnamee breached a contract, breached a fiduciary duty, and made unsuitable transactions with regard to…

Richard A. Rodriguez Jr. of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Rodriguez made misrepresentations, acted negligently, breached a fiduciary duty, breached a contract, and…

Gregory Scott Hanshew (also known as Greg Scott Hanshew) of Littleton, Colorado, a stockbroker formerly registered with Infinity Financial Services, has been barred from associating with any FINRA member in any capacity based upon allegations that Hanshew failed to cooperate with a FINRA investigation. Default Decision No. 2021071060902 (Aug. 22, 2022). According to the Default…

James Daniel Kent Jr. of San Mateo, California, a stockbroker formerly registered with Emerson Equity LLC, has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for failing to update his Form U4. Letter of Acceptance Waiver and Consent No. 2021071506202 (July 19,…

John Anthony Sommo of New Haven, Connecticut, a stockbroker formerly registered with UBS Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to respond to FINRA’s request for information. Case No. 2020067928601 (April 4, 2022). Public Disclosure shows that…

Darryl Matthew Cohen of Westlake Village, California, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he did not comply with an investigation into his use of customer funds. Letter of Acceptance Waiver and Consent No. 2020066797301 (February 16, 2022)….

Dusty Lynn Sternadel (also known as Dusty Lynn Veitenheimer) of Wichita Falls, Texas, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been barred from associating with any FINRA member in any capacity based upon allegations that Sternadel failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022076046801 (Sept….

Russ Kory of White Plains, New York, a stockbroker formerly registered with David Lerner Associates Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Kory made unsuitable recommendations. Letter of Acceptance, Waiver, and Consent No. 2019063686203 (September…

Antonio Almeida (also known as Tony Almeida) of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $106,882.07 in damages based upon accusations that Almeida made unsuitable recommendations in connection with the sale of investments during the…

John Charles Barnes of Naples, Florida, a stockbroker formerly registered with RBC Capital Markets LLC, has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Barnes’ unauthorized trading in customer accounts during the time that he was associated with RBC Capital…

John Anthony Busco of Toms River, New Jersey, a stockbroker formerly registered with Morgan Stanley Smith Barney, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $10,000.00 in damages based upon allegations that Busco made unsuitable transactions in connection with the recommendation and sale of direct investments…

Miguel Angel Murillo (also known as Michael Murillo and as Miquel Angel Murillo) of New York, New York, a stockbroker registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Murillo engaged in unsuitable and excessive…

Everett Bryant Ellis (also known as Rett Ellis) of Gulf Breeze, Florida, a stockbroker formerly registered with BBVA Securities Inc., is referenced in a customer initiated investment related complaint on March 3, 2022, where the customer requested $100,000.00 or more in damages based upon accusations that Ellis made unsuitable recommendations in connection with the recommendation…

Doug Marshall McKelvey of Southlake, Texas, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that McKelvey refused to cooperate with a FINRA investigation into allegations of McKelvey’s possible misappropriation and unauthorized transactions. Letter of Acceptance, Waiver, and…

Ray Anthony Garrido San Pedro of Miami, Florida, a stockbroker formerly registered with National Securities Corp., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $75,000.00 in damages based upon allegations that San Pedro made unsuitable recommendations with regard to the sale of private placements during the…

Conrad Kenneth Branson of Mill Valley, California, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Branson’s unauthorized trading in customer accounts during the time that he was associated…

Craig Eugene Friedrichsen of Topeka, Kansas, a stockbroker registered with Voya Financial Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested more than $100,000.00 in damages based upon accusations that Friedrichsen made misrepresentations in connection with the recommendation and sale of alternative investments including real…

Bryon Edwin Martinsen of Kings Park, New York, a stockbroker currently registered with Centaurus Financial Inc., has been fined $10,000 and suspended for 15 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Martinsen’s private securities transactions during the time that he was associated with Centaurus Finacnial Inc….

Jeffrey Alan Kiesnoski of Jefferson, New York, a stockbroker registered with Concorde Investment Services LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $8,500.00 in damages based upon accusations that Kiesnoski breached a contract and breached a fiduciary duty in connection with the recommendation and sale of…

Efthimios George Petrou (also known as Tim Petrou) of Ronkonkoma, New York, a stockbroker formerly registered with Arive Capital Markets, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Petrou made unsuitable recommendations and excessive transactions. Letter of…

Norbert Michael Witt of Amherst, New York, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint on November 1, 2020, where the customer requested $14,000.00 in damages based upon accusations that Witt supposedly failed to follow “instructions” (whatever that means) concerning the customer’s account during the…

James William Dunn Jr., of Vienna, Virginia, a stockbroker formerly registered with Ameriprise Financial Services Inc., is done, and has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon the refusal to cooperate with a FINRA investigation into allegations of his unauthorized trading. Letter of Acceptance, Waiver,…

Ryan Thomas Fleming of Bellevue, Washington, a stockbroker formerly registered with Hornor Townsend Kent LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon accusations that Fleming made unsuitable recommendations, breached a fiduciary duty, and acted negligently with regard to the recommendation and…

Jeffrey Daniel Basford of Westport, Connecticut, a stockbroker formerly registered with David Lerner Associates Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Basford refused to cooperate with a FINRA investigation regarding the unsuitable recommendation and sale of securities. Letter of Acceptance, Waiver,…

Andrew David Schell of Colorado Springs, Colorado, a stockbroker formerly registered with D.A. Davidson Co., is the subject of a customer initiated investment related complaint that was settled on June 22, 2022, for $36,801.00 in damages based upon accusations that Schell made unauthorized options transactions when Schell was associated with D.A. Davidson Co. FINRA Public…

Patrick James Dwyer of Miami, Florida, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Incorporated, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $600,000.00 in damages based upon accusations that Dwyer made unsuitable recommendations and misrepresentations in connection with the recommendation and sale of options during…

Bradley Stephen Kavanagh of Baton Rouge, Louisiana, a stockbroker registered with Park Avenue Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kavanagh refused to cooperate with a FINRA investigation into accusations of his unauthorized solicitation of equity transactions. Letter of Acceptance, Waiver, and Consent…

Amanda Yvonne Berry (also known as Amanda Yvonne Coleman and as Amanda Yvonne Oostrum) of Oklahoma City, Oklahoma, a stockbroker formerly registered with MML Investors Services LLC, is the subject of a customer initiated investment related complaint that was settled on May 27, 2022, for $82,967.79 in damages based upon accusations that Berry made unsuitable…

Robert Leo Luley (also known as Rob Leo Luley Junior) of Clover, South Carolina, a stockbroker formerly registered with Madison Avenue Securities LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $250,000.00 in damages based upon allegations that Luley made unsuitable recommendations in connection with the sale…

William Montgomery Cerf (also known as Monty Cerf) of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer was awarded $1,109,484.73 in compensatory damages because UBS Financial Services Inc. was held liable on the customer’s…

Ahmad Mohamed Maklouf (also known as Ed Maklouf) of New York, New York, a stockbroker currently registered with Spartan Capital Management LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $350,343.10 in damages based upon allegations that Maklouf churned accounts, breached a fiduciary duty, made unsuitable and…

Michael D. Dorband of Blue Springs, Montana, a stockbroker registered with Berthel Fisher Company Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Dorband failed to respond to FINRA’s request for information. FINRA Case No. 2021071383001 (December 27, 2021). Public Disclosure…

Justin Walt Parker of Del Mar, California, a stockbroker registered with Hilltop Securities Inc. is the subject of a customer initiated investment related complaint on March 18, 2021, where the customer requested $280,000.00 in damages based upon accusations that Parker made unsuitable recommendations in connection with the sale of municipal bonds when Parker was associated…

Michael Christopher Venturino of Garden City, New York, a stockbroker registered with Aegis Capital Corp., is referenced in an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) where the regulator is seeking sanctions against Venturino based upon allegations that Venturino committed fraud and made excessive and unsuitable transactions in Aegis Capital Corp customer accounts….

Patrick Allen English of Phoenix, Arizona, a stockbroker formerly registered with Comerica Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that English refused to cooperate with a FINRA investigation into allegations of unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2022075677601 (August…

Zachary Hansen (also known as Zach Hansen) of Denver, Colorado, a stockbroker registered with UBS Financial Services Inc., has been fined $7,500.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Hansen failed to retain private communications with customers concerning securities transactions….

On July 28, 2022, Aegis Captial Corp agreed to settle with the United States Securities & Exchange Commission an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 203(e) of the Investment Advisers Act…

John Dennis Lowry of New York, New York, the owner of Spartan Capital Securities LLC, was identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages because Lowry allegedly breached a fiduciary duty and had recommended unsuitable investments while he was registered with Spartan Capital Securities. Financial…

David Gene Menashe of New York, New York, a stockbroker formerly registered with Allied Millennial Partners LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he refused to comply with FINRA when he was under investigation for excessive and unsuitable trading. Letter of Acceptance, Waiver, and…

Roy Daniel Budd of Little Falls, New Jersey, a stockbroker formerly registered with Morgan Stanley, was referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $53,000.00 in damages because Budd allegedly made unsuitable investment recommendations for the customer’s managed account at Morgan Stanley Smith Barney in April of 2019….

Rosemary Teresa Vrablic of New York, New York, a stockbroker formerly registered with Deutsche Bank Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for allegedly refusing to respond to FINRA inquiry into her activities. Case No. 2021070117201 (October 18, 2021). FINRA Public Disclosure shows that…

Adam Ray Melville of Sherman Oaks, California, a stockbroker currently registered with Hilltop Securities Inc., is the subject of a customer initiated investment related written complaint on February 13, 2020, in which the customer requested $35,000.00 in damages because Melville allegedly made unauthorized trades involving municipal bonds during the time that he was associated with…

Christopher William Porter of Yalesville, Connecticut, a stockbroker currently registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested approximately $100,000.00 in damages because Porter allegedly provided unsuitable recommendations to the customer concerning alternative investments including GPB Automotive when Porter was associated…

Robin Lee Taliaferro of Solvang, California, a stockbroker formerly registered with Boustead Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate with a FINRA investigation concerning accusations of Taliaferro’s sales practice violations at Boustead Securities as well as Sutter Securities Incorporated…

Michael Joseph Sievert (also known as Mike Sievert) of Jacksonville, Florida, a stockbroker formerly registered with Triad Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $200,000.00 in damages based upon accusations that Sievert made unsuitable recommendations in connection with real estate security transactions while he…

Michael Burton Ohlemacher of Maumee, Ohio, a stockbroker formerly registered with WS Brokerage Services Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ohlemacher engaged in outside business activities during the time that he was associated with WS Brokerage Services….

Juan Guillermo Herrans Barreras of Miami, Florida, a stockbroker formerly registered with Merrill Lynch, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $70,000.00 in damages because Barreras allegedly made misrepresentations and unsuitable investment recommendations in connection with the sale of mutual funds during the period that…

Michael J. Haffling of Orland Park, Illinois, a stockbroker formerly registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim that was resolved for $13,803.26 in damages because of the alleged recommendation and sale of illiquid, risky alternative investments for the customer’s individual retirement accounts at Kalos Capital….

Ronald Terrence Molo of Joliet, Illinois, a stockbroker formerly registered with Edward Jones, has been charged by Securities and Exchange Commission (SEC) with stealing approximately $800,000.00 from customers, at least one of which included an Edward Jones customer. SEC v. Ronald T. Molo, Civil Action No. 21-cv-06286 (November 23, 2021). According to SEC’s Complaint, between…

Jack Lewis Jones (also known as JJ Jones) of Houston, Texas, a stockbroker currently registered with Triad Advisors, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages because Jones allegedly provided unsuitable investment recommendations to the customer regarding a private placement when Jones was…

Stephen Gregory Whitman (also known as Steve Whitman) of Chesterfield, Montana, a stockbroker formerly registered with Oppenheimer Co. Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Whitman failed to cooperate with an investigation into allegations of his sales practice violations as alleged in customer complaints….

Herbert Lee Weith IV of Naples, Florida, a stockbroker formerly registered with Wells Fargo Clearing Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for failing to respond to a request for information. FINRA Case No. 2019064197601 (January 10, 2022). According to FINRA Public Disclosure, Weith…

Gerald Roger Dewes of East Amherst, New York, a stockbroker formerly registered with Cadaret Grant Co. Inc., was referenced in a customer initiated investment related complaint which was settled for $58,000.00 in damages on September 3, 2021, based upon allegations that Dewes breached a fiduciary duty and defrauded the customer in connection with Dewes’ recommendations…

William Sideny Friedman of Boca Raton, Florida, a stockbroker formerly registered with Pinnacle Investments, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $50,000.00 in damages based upon accusations that Friedman breached a fiduciary duty and made unauthorized trades when he was registered with Pinnacle Investments, Woodstock…

Franz Helmut Lambert II of New York, New York, a stockbroker formerly registered with Worden Capital Management LLC, has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he effected unsuitable and excessive trades in a customer’s Worden Capital Management account. Letter…

Timothy Charles Williams of Tucson, Arizona, a stockbroker formerly registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for allegedly failing to comply with a FINRA inquiry. Case No. 2020067985001 (November 15, 2021). According to FINRA Public Disclosure, FINRA sought information from Williams in…

Stephen James Sullivan of New York, New York, a stockbroker formerly registered with Newbridge Securities Corporation, was identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $30,000.00 in damages because Sullivan allegedly made unauthorized, unsuitable, and excessive securities transactions in the customer’s Newbridge Securities Corporation account. Financial Industry Regulatory…

Tina Michele Bryant (also known as Tina Bryant Cooper and as Tina Rowland Bryant) of Greenville, South Carolina, a stockbroker currently registered with Truist Investment Services Inc., is referenced in a customer initiated investment related written complaint on March 5, 2021, in which the customer requested $21,330.03 in damages because Bryant allegedly failed to follow…

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