Stephen Mark Kiront of Garden City New York a stockbroker formerly employed by Woodstock Financial Group Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested damages estimated at $100,000.00 founded on accusations including (1) negligent unjust enrichment (2) breach of contract (3) suitability (4) breach of fiduciary duty…

Timothy Luke Wynne of Minnetonka Minnesota a stockbroker currently employed by Feltl Company is referenced in a customer initiated investment related arbitration claim where the customer sought $441,306.00 in damages based upon accusations that between February of 2014 and June of 2016: (1) fiduciary duties owed to the customer had been breached (2) unauthorized stock…

William Aubrey Morrow of San Diego California a stockbroker formerly registered with Independent Financial Group LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages based upon accusations that (1) unregistered tenant in common investments had been sold to the customer (2) the customer’s account transactions lacked…

Steven David Schultz of Palm Beach Gardens Florida a stockbroker currently employed by Oppenheimer Co. Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $750,000.00 in damages based upon allegations of (1) the failure to supervise securities transactions placed in the customer’s account (2) misrepresentation (3) breach of…

Richard Mark Braverman of Lancaster Pennsylvania a stockbroker currently registered with Geneos Wealth Management Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought unspecified damages based upon accusations that (1) omissions had been made regarding the risks of investing in direct investments and real estate investments (2) fiduciary duties…

Vincent Leonard Petrangelo of Springfield Massachusetts a stockbroker employed by Ameriprise Financial Services Inc. has been ordered by the Massachusetts Securities Division to be placed on heightened supervision as a condition of registering with Ameriprise in the state of Massachusetts based upon Petrangelo’s history of transgressions including his disclosure of five customer complaints alleging (1)…

William Sidney Friedman of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a customer initiated investment related arbitration claim which settled for $10,000.00 in damages supported by accusations that Friedman (1) engaged in inappropriate equity trading in the customer’s account (2) breached his fiduciary duties to the customer (3)…

J. Gordon Rhodes of Fort Worth Texas a stockbroker currently registered with Rhodes Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $250,000.00 in damages founded on accusations including (1) failure to supervise the customer’s investment activities (2) breach of fiduciary duty (3) and unsuitable over-the-counter…

William K. Tress (also known as William K. Tress Garcia) of Dorchester Massachusetts a stockbroker formerly employed by Santander Securities is the subject of a customer initiated investment related arbitration claim where the customer requested $111,522.41 in damages based upon accusations including (1) gross negligence (2) breach of contract (3) failure to supervise (4) breach…

James Orth Davis of San Francisco California a stockbroker currently employed by Centaurus Financial, Inc. is referenced in a customer initiated investment related civil action in which the customer sought unspecified damages based upon accusations including (1) negligent misrepresentation (2) omissions of information (3) fraud (4) breach of fiduciary duty and (5) violation of California…

Kodi Robert Hermann of Tualatin Oregon a stockbroker formerly registered with LPL Financial LLC has been named in a customer initiated investment related arbitration claim in which the customer was awarded $9,064.03 in compensatory damages and $1,500.00 in attorneys’ fees founded on accusations of (1) breach of contract (2) negligence (3) violation of FINRA Rules…

Danny Harold Hill of Kingwood Texas the limited partner and chief compliance officer of D.H. Hill Securities LLP is the subject of a customer initiated investment related civil action where the customer sought $700,000.00 in damages founded on accusations that (1) the customer’s investment account was over-concentrated in real estate investment trust products (2) fiduciary…

Jeffrey Sy Rubenstein of New York New York a stockbroker currently employed by Oppenheimer Co. Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages based upon accusations that between 2012 and 2017, contractual and fiduciary obligations to the customer had been breached and the…

Steven Franklin Brandt of Alexandria Virginia a stockbroker formerly registered with Cetera Advisors LLC is referenced in a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages supported by allegations of (1) breach of contract (2) the customer having been placed in direct participation program or limited partnership interests that…

Jonathan Wayne Duke of Birmingham Alabama a stockbroker currently employed by Synovus Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $200,000.00 in damages based upon allegations that fiduciary duties had been breached with regard to the customer’s certificate of deposit investment. Financial Industry Regulatory Authority…

George Edward Mathis of The Villages, Florida, a stockbroker currently registered with Raymond James & Associates, Inc., is the subject of a customer initiated investment related arbitration claim in which the customer requested $65,000.00 in damages based upon allegations of fraud, misrepresentation, breach of contract, negligence, and breach of fiduciary duty pertaining to investment transactions…

Richard Allen Yantis of Cedar Falls Iowa a stockbroker formerly employed by Cambridge Investment Research Inc. is the subject of a customer initiated investment related written complaint on April 19, 2018 in which the customer sought $142,000.00 in damages supported by allegations that Yantis (1) employed deceptive and manipulative tactics to induce the customer’s alternative…

Joseph Eldon Johnson of North Riverside Illinois a stockbroker currently registered with Raymond James Financial Services Inc. is referenced in a customer initiated investment related arbitration claim where the customer requested $50,000.00 in damages supported by accusations of sales practice violations relating to exchange traded funds including (1) negligence (2) breach of fiduciary duty (3)…

Richard Mark Strauss of Boca Raton Florida a stockbroker formerly registered with Oppenheimer & Co. Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages founded on allegations that (1) unsuitable recommendations had been made to the customer (2) the customer’s account was handled in…

John Charles Wyshak of Los Angeles California a stockbroker currently employed by Raymond James Associates Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $1,023,460.00 in damages based upon accusations of (1) fraudulent concealment (2) breach of contract (3) conversion (4) omission of material facts (5) churning (6) breach…

Atiq Urrehman Khan of Covina California a stockbroker formerly registered with Transamerica Financial Advisors Inc. has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to make an appearance for FINRA personnel during an investigation into Khan’s apparent improper solicitation of securities. Department of Enforcement v. Atiq U. Khan…

Steven Harman Mogul of Northbrook Illinois a stockbroker currently registered with UBS Financial Services Inc. is the subject of a customer initiated investment related written complaint on March 30, 2018 where the customer sought $36,923.25 in damages founded on accusations that between March 21, 2014 and February 27, 2018, Mogul (1) breached his fiduciary obligation…

Dexter Leroy Thomas of Dallas Texas a stockbroker formerly employed by National Planning Corporation is referenced in a customer initiated investment related arbitration claim where the customer sought $94,352.90 in damages founded on accusations including (1) breach of fiduciary (2) negligence (3) suitability (4) violation of Texas Securities Act and (5) violation of FINRA rules…

Vincent Thomas Hoban III of Portfolio Advisors Alliance LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $85,000.00 in damages supported by accusations including (1) breach of contract (2) fraud (3) violation of federal securities law (3) breach of fiduciary duty and (5) suitability in reference to the customer’s…

Richard Scott Ewing of Richmond Virginia a stockbroker currently registered with Ameriprise Financial Services Inc. is named in a customer initiated investment related arbitration claim which settled for $52,500.00 in damages based upon accusations including (1) breach of fiduciary duty (2) excessive fees (3) misrepresentation (4) suitability and (5) violation of state and federal securities…

Marshall Royal Cassedy Jr. of Tallahassee Florida a stockbroker currently registered with McNally Financial Services Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $845,000.00 in damages founded on allegations of (1) breach of fiduciary duty (2) misrepresentation (3) negligence (4) breach of contract and (5) fraud in…

Robert Edward Wamhoff of Saint Charles Missouri a stockbroker formerly registered with VSR Financial Services Inc. is the subject of a customer initiated investment related written complaint on October 12, 2017 where the customer sought $55,000.00 in damages supported by accusations of breach of fiduciary duty and negligence relating to real estate security transactions executed…

Hemant Kathuria of Manhattan Beach California is a stockbroker and securities principal currently registered with Euro Pacific Capital Inc. who is the subject of a customer initiated investment related arbitration claim in which the customer sought $791,607.53 in damages founded on allegations including (1) breach of contract (2) violation of Financial Industry Regulatory Authority (FINRA)…

Audie Gean Rea of Ridgeland Missouri is a stockbroker currently registered with Stifel Nicolaus and Company who is the subject of a customer initiated investment related arbitration claim in which the customer was awarded $90,000.00 in damages founded on Rea having been found liable for breaching his fiduciary duties, effecting unsuitable transactions, churning the customer’s…

Eric Anthony Dupre of San Antonio Texas is a stockbroker currently registered with Raymond James and Associates Inc. who is the subject of a customer initiated investment related arbitration claim which settled for $90,000.00 in damages supported by allegations of (1) breach of fiduciary duty (2) negligence and (3) suitability pertaining to over-the-counter equities transactions…

Leslie Brian Flaum of Melville New York is a stockbroker formerly registered with Oppenheimer who is the subject of a customer initiated investment related arbitration claim in which the customer sought over one million one-hundred eight thousand dollars in damages based upon accusations that Flaum failed to supervise a registered representative who breached his fiduciary…

Michael James Blake, of Ameritas Investment Corp., a stockbroker formerly employed with Ameritas Investment Corp., is the subject of a customer initiated investment related arbitration claim, in which the customer sought $50,000.00 in damages supported by accusations of breach of contract, breach of fiduciary duty, suitability, fraudulent concealment, misrepresentation, and violation of the Securities Act…

Kevin A. Bostory of Edison, New Jersey, a stockbroker formerly registered with National Securities Corp., is the subject of a customer initiated investment related arbitration claim, where the customer requested $36,509.00 in damages based upon accusations that Bostory breached his fiduciary duties to the customer and effected unsuitable equity transactions in the customer’s account. Financial…

Alan Robert Rosenberg of Garden City, New York, a stockbroker currently registered with Raymond James & Associates, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer sought $150,000.00 in damages founded on accusations of suitability, negligence, and breach of fiduciary duty with respect to sector-specific stock transactions effected in the…

Michael Corbett Milne of Ocala, Florida, a stockbroker formerly registered with Kovack Securities, is the subject of a customer initiated investment related arbitration claim, which settled for $13,000.00 in damages supported by accusations that Milne breached his fiduciary duties, negligently handled the customer’s investment account, breached his contractual duties, made misrepresentations, effected unauthorized options and…

Charles Thomas Stevens of Saint Augustine, Florida, a stockbroker currently associated with D.H. Hill Securities, LLLP, is the subject of a customer initiated investment related arbitration claim, where the customer alleged breach of contract, negligence, breach of fiduciary duty, and unsuitable investment recommendations of business development companies, real estate investment trusts and a variable annuity….

Scott Allen Sibley of Fort Lauderdale, Florida, a stockbroker formerly employed with Raymond James & Associates, is identified in a customer initiated investment related arbitration claim, wherein the customer sought $250,000.00 in damages based upon allegations of breach of contract, breach of fiduciary duty, negligence, fraud, and the violation of Florida’ Securities and Investor Protection Act…

Kelly Gene Richards, of Phoenix, Arizona, a stockbroker formerly registered with Capital Investment Group, Inc., has been named in a customer initiated investment related arbitration claim on June 27, 2016, in which customers collectively requested $650,000.00 in damages based upon allegations that Richards breached his fiduciary duties to the customers, negligently managed the customers’ investment…

Tuan Phan, of New York, New York, a stockbroker registered with National Securities Corp, is the subject of a customer initiated investment related arbitration claim, which settled on June 30, 2016, for $19,000.00 in damages supported by allegations of negligence in the handling of the customer’s investment account as well as misrepresentation and the breach…

Jerry Wayne Devins, of Louisville, Kentucky, a stockbroker formerly registered with Raymond James Financial Services Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer was awarded $500,000.00 in damages on March 30, 2017, based upon allegations that Devins breached his fiduciary duties to the customer. Financial Industry Regulatory…

Glen Derek Delaney, of New York, New York, a stockbroker formerly registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related written complaint on March 6, 2017, in which the customer requested $46,634.00 in damages based upon allegations that Delaney breached his fiduciary duties, over-concentrated the customer’s assets in stock, effected…

Jason M. Santini, of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, LLC, is the subject of a customer initiated investment related arbitration claim on November 21, 2016, where the customer sought $27,376.99 in damages based upon allegations that Santini breached his fiduciary duties, negligently managed the customer’s investment portfolio, utilized…

Richard Anthony Barone, of Cleveland, Ohio, a stockbroker currently registered with America Northcoast Securities, Inc., has been named in a customer initiated investment related arbitration claim on May 17, 2017, in which the customer requested $250,000.00 in damages based upon allegations against Barone including failure to supervise, unauthorized trading, unsuitability, breach of fiduciary duty and…

Philip A. Dina, of Woodbury, New York, a stockbroker formerly registered with Obsidian Financial Group, LLC, has been named in a customer initiated investment related arbitration claim on April 24, 2017, where the customer requested $50,000.00 in damages based upon allegations that he failed to supervise one of the firm’s registered representatives who placed faulty…

Cary Edward Scheer, of Southlake, Texas, a stockbroker formerly registered with Girard Securities, Inc., has been named in a customer initiated investment related arbitration claim on April 24, 2017, in which the customer requested $150,000.00 in damages based upon allegations that Scheer breached his contractual and fiduciary duties to the customer, made investment misrepresentations and…

Geraldine Gordon, of Lexington, Kentucky, a stockbroker currently registered with Ameriprise Financial Services, has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she made unsuitable investment recommendations to a firm customer. Letter of Acceptance, Waiver and Consent, No. 2016049353501…

Robert Michael Gianchiglia, of Worcester, Massachusetts, a stockbroker formerly registered with Ameritas Investment Corp., has been named in a customer initiated investment related arbitration claim on March 28, 2017, wherein the customer requested $225,000.00 in damages based upon allegations that Gianchiglia effected unauthorized trades in the customer’s account, made misrepresentations to the customer, breached his…

Gabriel Yanez Jr., of Newport Beach, California, a stockbroker formerly registered with Raymond James And Associates, Inc., has been named in a customer initiated investment related arbitration claim on April 12, 2017, in which the customer requested $700,000.00 in damages based upon allegations that Yanez engaged in deceptive trade practices, negligently handled the customer’s investment…

Robert Henderson Jr., of Miami Lakes, Florida, a stockbroker currently registered with IFS Securities, has been named in a customer initiated investment related civil action on April 15, 2017, based upon allegations that Henderson breached his fiduciary and trust obligations to the customer, and additionally failed to fulfill his duties concerning the accounting of a…

Ronald Clagget Knowles, of Lake Charles, Louisiana, a stockbroker formerly registered with The O.N. Equity Sales Company, has been named in a customer initiated investment related written complaint on April 13, 2017, in which the customer requested $17,000.00 in damages based upon allegations that Knowles made misrepresentations to the customer concerning annuity products, effected transactions…

Peter Chris Marketos, of Paramus, New Jersey, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on March 2, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that Marketos, from October of 2014 to February of 2016,…

Dean Adam Myerow, of Hasbrouck Heights, New Jersey, a stockbroker formerly registered with BB&T Securities, LLC, has been identified in a customer initiated investment related arbitration claim on April 26, 2017, in which the customer requested $125,000.00 in damages based upon allegations that included violation of MSRB and FINRA rules, failure to supervise, breach of…

Robert Anthony Guidicipietro, of Holmdel, New Jersey, a stockbroker currently registered with Aegis Capital Corp., has been named in a customer initiated investment related arbitration claim on March 1, 2017, where the customer requested $250,000.00 in damages based upon allegations that Guidicipietro breached his fiduciary duties, made unsuitable investment recommendations and misrepresentations to the customers,…

Ronald Arthur Christopher Jr., of Altamonte Springs, Florida, a stockbroker formerly registered with Merrimac Corporate Securities, Inc., has been named in a customer initiated investment related arbitration claim on October 13, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Christopher breached his fiduciary obligations to the customer, negligently handled the…

Joseph Francis Valdini, of Garden City, New York, a stockbroker formerly registered with Worden Capital Management LLC, has been named in a customer initiated investment related arbitration claim, which settled on March 21, 2016, for $79,000.00 in damages based upon allegations that Valdini breached his fiduciary and contractual duties to the customer, violated New Jersey…

Albert Dishner, of New York, New York, a stockbroker formerly registered with Credit Suisse Securities (USA) LLC, has been named in a customer initiated investment related arbitration claim, which settled on December 30, 2016, for $205,000.00 in damages based upon allegations that include churning, excessive trading, violation of state and federal securities laws, violation of…

Andrew Patrick Murino, a stockbroker currently registered with Alexander Capital, L.P., has been named in a customer initiated investment related arbitration claim on December 1, 2016, in which the customer requested $38,084.00 in damages based upon allegations that Murino effected unauthorized and unsuitable over-the-counter equity trades in the customer’s account, and breached his fiduciary duty…

Charles John Obryant III, of Raleigh, North Carolina, a stockbroker formerly registered with Stifel, Nicolaus & Company, has been named in a customer initiated investment related arbitration claim on October 2, 2015, which settled for $632,298.00 in damages based upon allegations that Obryant negligently handled the customer’s investment account, breached his fiduciary duty, and effected…

Gabriel Block, of Red Bank, New Jersey, a stockbroker formerly registered with Oppenheimer & Co. Inc., has been named in a customer initiated investment related arbitration claim on July 6, 2015, which settled for $90,000.00 in damages based upon allegations that Block breached his fiduciary and contractual duties to the customer, negligently handled the customer’s…

Thomas G. Gresham, of Overland Park, Kansas, a stockbroker formerly associated with Wells Fargo Advisors, LLC, has been subject to five customer initiated arbitration claims on July 10, 2015, which were settled for a total of $655,000.00 in damages based upon allegations against Gresham including unsuitable investment recommendations, breach of fiduciary duties, unjust enrichment, and…

Barry Link, of Fort Meyers, Florida, a stockbroker currently registered with World Equity Group, Inc., has been subject to a customer initiated investment related arbitration claim on February 10, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Link breached his fiduciary duty to the customer and committed negligence in handling…

Nathaniel R. Clay, of New York, New York, a stockbroker formerly with National Securities Corporation, is the subject of a pending customer dispute in which a customer seeks $513,218.40 in damages based upon the allegation that  Clay committed negligence, breached his fiduciary obligations, and made misrepresentations to the customer. FINRA BrokerCheck reveals that Clay has been…

Anthony Mastroianni, Jr., of New York, New York, a stockbroker with Meyers Associates, L.P., was named in a pending customer dispute, in which the customer has requested $2,000,000.00 in damages amid allegations against Mastroianni of breach of fiduciary duty, unsuitable investment recommendations, breach of contract, and churning of the customer’s account. Mastroianni is also subject…

Robert Bales, the US Army staff sergeant accused of massacring 16 Afghan civilians, was a former stockbroker, who enlisted in the U.S. Army to apparently avoid paying an elderly Ohio couple of their life savings in a stock fraud. According to FINRA records, from 1996 through 2000, Bales was associated with at least seven brokerage…

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