Customer Loans

Timothy Aaron Engelmann of Albuquerque New Mexico a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Engelmann borrowed funds from customers without authorization. Letter of Acceptance Waiver and Consent No. […]

Michael Alan Biedny of Clarence New York a stockbroker formerly registered with Raymond James Financial Services has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Biedny concealed from Raymond James that he took $118,000 from a senior customer. […]

Philip Anthony Simone of Irvine California a stockbroker formerly registered with AXA Advisors LLC has been fined $12,000.00 and suspended for eleven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simone borrowed funds from elderly customers and then failed to be forthcoming about it with […]

Michael Kris Pina of Fort Lauderdale Florida a stockbroker formerly employed by PFS Investments Inc. has been fined $10,000.00 and suspended for sixteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Pina borrowed money from customers of the securities broker dealer. Letter of Acceptance Waiver […]

Christopher Anthony Fernan of Melville New York a stockbroker formerly registered with Salomon Whitney Financial (SW Financial) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he neglected to testify for FINRA during the period that he was under investigation for a customer complaint. […]

Lawrence E. Hagedorn of Andover Kansas a stockbroker formerly registered with ON Equity Sales Company (ONESCO) has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative based on findings of Hagedorn pleading guilty to state securities laws violations. In the Matter of Lawrence E. Hagedorn Administrative Proceeding File […]

Jay Howard Bluestine of New York New York a stockbroker formerly registered with UBS Financial Services Inc. and Raymond James Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Bluestine entered into unapproved customer loan arrangements during the […]

Ferrell Lee Rollins Jr of Rocky Mount North Carolina a stockbroker formerly employed by Capital Investment Group Inc. has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Rollins borrowed funds from an elderly Capital Investment Group customer. Letter […]

Ronald G. Richer of New York New York a stockbroker formerly employed by Garden State Securities is named in a FINRA Department of Enforcement Complaint alleging that Richer had borrowed funds from a customer of the securities broker dealer without its authorization and he then tried to conceal his activities from both Garden State Securities […]

Omar Waleed Hammad-Randolph of Boca Raton Florida a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hammad-Randolph borrowed from a customer of the securities broker dealer without […]

Ronald James Knight (also known as Ramone Knight) of Timonium Maryland a stockbroker formerly registered with NYLife Securities is referenced in a customer initiated investment related written complaint which was resolved for $128,351.26 on April 10, 2018 based upon allegations of the stockbroker having failed to repay a NYLife Securities LLC customer after borrowing funds […]

Jean Connell Hicks of Saint Petersburg Florida a stockbroker formerly registered with Fortune Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hicks neglected to furnish documentation and information to FINRA personnel when she was under investigation for borrowing from a customer […]

Anthony Glenn Hall of Dayton Texas a stockbroker formerly employed by Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with the regulator’s investigation into accusations of complaints relating to customer loans. Letter of Acceptance Waiver and Consent […]

William Forrest Winchester III (also known as Bill Woods) a stockbroker formerly associated with Raymond James Financial Services has been referenced in a Tennessee Securities Division Consent Order in which Winchester was fined $45,000.00 and subject to heightened supervision requirements supported by findings that Winchester engaged in unethical and dishonest practices by obtaining loans from […]

Scott Mason of Lakewood Colorado a stockbroker formerly employed by LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Mason failed to cooperate with the regulator’s request for his information. Case No. 2018058924501 (Apr. 20, 2020). Mason will be automatically barred […]

Ronald G. Richer of New York New York a stockbroker formerly employed by Garden State Securities Inc. has been identified in a Financial Industry Regulatory Authority (FINRA) investigation in which a preliminary determination was made for Department of Enforcement to pursue an enforcement action against Richer based on accusations that he provided false documentation to […]

Robert Renteria (also known as Roberto Herrera) of El Paso Texas a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Renteria lied to FINRA about borrowing from a customer of PFS Investments. Letter of Acceptance Waiver […]

Lawrence E. Hagedorn of Andover Kansas a stockbroker registered with ON Equity Sales Company and ON Investment Management has been barred by the Office of the Kansas Securities Commissioner from working as a stockbroker or investment adviser representative and has been fined $50,000.00 and ordered to pay $102,500.00 in restitution based upon allegations that the […]

Stuart Myles Godin (also known as Stu Godin) of Los Angeles California a stockbroker employed by Western International Securities Inc. has been discharged on April 6, 2020 based upon allegations that Godin borrowed funds from a Western International Securities customer. Godin is the subject of seven customer initiated investment related disputes pertaining to allegations of […]

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed funds from a customer of LPL Financial without authorization and had […]

Terrence Edward Bonk of Inver Grove Heights Minnesota a stockbroker formerly registered with Feltl Company has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that (1) Bonk borrowed money from a customer of Feltl Company without the securities broker […]

Ziv Ohel (also known as Zir Ohel) of Long Grove Illinois a stockbroker formerly associated with CFD Investments Inc. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to respond to FINRA’s request for information. FINRA Case No. 2016051838401 […]

Kerry Dean Wills of Manhattan Beach California a stockbroker currently associated with First Western Securities Inc. has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Wills borrowed from an elderly customer without authorization. Letter of Acceptance Waiver and […]

Julian E. Munoz (also known as Julian Munoz Martinez) of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities 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 based upon findings that the stockbroker entered into a loan arrangement with a […]

Glen Joseph Webster of Atlanta Georgia a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Webster’s consent to findings that he engaged in a prohibited borrowing arrangement with a customer of Wells Fargo. […]

Joseph Viet Duy Phan of Irvine California a stockbroker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Phan failed to comply with FINRA when he was investigated for (1) borrowing customers’ funds without authorization from […]

Cody Hawkins Fitzgerald (also known as Cody Doyle Hawkins) of Maitland Florida a stockbroker formerly registered with Waddell Reed has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he borrowed a customer’s funds in contravention of the policies […]

Lance Roman Armstrong of Columbia New Jersey a stockbroker formerly registered with Raymond James Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Armstrong neglected to comply with a FINRA investigation into allegations of his outside business activities and […]

Hayato Tamura (also known as Yato Tamura) of Orange California a stockbroker registered with J.P. Morgan Securities LLC has been discharged by the securities broker dealer on March 29, 2019 based upon accusations that (1) Tamura facilitated or otherwise recommended an unapproved loan arrangement between a customer of J.P. Morgan Securities LLC and a third […]

Shirley Anne Weston (also known as Shirley Craft and as Shirley Schaeffer) of J.P. Morgan Securities LLC has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Weston impermissibly borrowed money from a customer while she was employed with […]