Paul Itzchak Antevy of North Miami Beach, Florida, a stockbroker registered with FMSBonds Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $14,999.00 in damages supported by accusations of the customer being misled by Antevy regarding investments in corporate debt while Antevy was employed by FMSBonds. Financial…

Timothy Allen Thelen (also known as Tim Thelen) of Middletown, New Jersey, a stockbroker formerly registered with Accelerated Capital and Aeon Capital, is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $1,500,000.00 in damages supported by accusations of negligence and breach of fiduciary duty relating to private placement…

Grant Christopher Birkley of Barrington, Illinois, a stockbroker formerly registered with SagePoint Financial Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $625,000.00 in damages supported by accusations of an inappropriate private investment fund through Birkley during the time that he was associated with Sagepoint Financial….

Kristian M. Gaudet of Cut Off, Louisiana, a stockbroker formerly registered with Ameritas Investment Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $450,000.00 in damages based upon accusations of negligence and breach of fiduciary duty while Gaudet was employed by Ameritas Investment Corp. Financial Industry…

Robert Douglas Armstrong of Boca Raton, Florida, a stockbroker currently registered with Dawson James Securities Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $123,000.00 in damages founded on accusations of unsuitable investment recommendations by Armstrong concerning limited partnership interests or direct participation program interests while Armstrong…

William Mark Heiden of Newport Beach, California, a stockbroker formerly registered with Wedbush Securities, is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $70,000.00 in damages based upon accusations of unsuitable and unauthorized trading of stocks by Heiden during the time that he was registered with Wedbush Securities…

Joseph Ijong Chu of Stamford, Connecticut, a stockbroker currently registered with RBC Capital Markets LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $866,302.56 in damages founded on accusations that the customer was placed into unsuitable over-the-counter equities by Chu during the time that he…

Robert Scott Ginsberg (also known as Bob Scott Ginsberg) of Wallingford, Connecticut, a stockbroker registered with Investors Capital Corp and Woodbury Financial Services Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $35,000.00 in damages based upon allegations of unsuitable investment recommendations by Ginsberg concerning real estate securities,…

John Albert Westbrook of McDonough, Georgia, a stockbroker formerly registered with Center Street Securities, is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $80,000.00 in damages based upon accusations of negligence and unsuitable transactions relating to Future Income Payments LLC while Westbrook was associated with Center Street Securities….

Antoine Nabih Souma of Los Angeles, California, a stockbroker formerly registered with JP Morgan Securities LLC and Morgan Stanley, has been fined $20,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Souma provided a customer with misleading and incorrect accounts reports…

Jon Richard Pariser of Pacific Grove, California, a stockbroker formerly registered with Independent Financial Group LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $103,004.30 in damages supported by accusations that the customer had been persuaded by Pariser to invest their funds into an unregistered investment….

Mark Charles Cohen of New York, New York, a stockbroker formerly registered with BCG Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $55,000.00 in damages based upon accusations of BCG Securities’ failure to supervise trading in the customer’s account, resulting in unsuitable real estate…

Robert James D’Andria (also known as Bobby Dandria and Bob Dandria) of Spring Lakes, New Jersey, a stockbroker currently registered with International Assets Advisory LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $45,000.00 in damages founded on accusations of negligent supervision, fraud, unauthorized trading, breach of…

Walter Warren Parker of Addison, Texas, a stockbroker formerly registered with Titan Securities, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought between $50,000.00 and $100,000.00 in damages founded on allegations of unsuitable alternative investments, including BDCs and real estate securities when Parker was associated with…

Bradley Carl Mascho of Frederick, Maryland, a stockbroker formerly registered with Western International Securities Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $55,000.00 in damages supported by accusations of Mascho’s unsuitable trading in the customer’s account concerning exchange-traded funds while Mascho was registered with Western International…

Brian Radoo of North Woodmere, New York, a stockbroker formerly registered with Next Financial Group Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $76,000.00 in damages based upon accusations that the customer was provided bad advice by Radoo regarding purchases of non-traded real estate investment…

Noel Ray Vincent of Houston, Texas, a stockbroker formerly registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages based upon allegations of unsuitable recommendations by Vincent when he was associated with Madison Avenue Securities. Financial…

Jeffrey Raymond Dixson of Vancouver, Washington, a stockbroker formerly registered with Madison Avenue Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages supported by allegations of unsuitable alternative investment recommendations by Dixson, which included sales of limited partnership interests or direct participation program…

Vincent John Villani of New York, New York, a stockbroker currently registered with National Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $300,000.00 in damages founded on accusations that the customer had been sold unsuitable private placements by Villani while he was employed by…

Matthew William Crafa of Garden City, New York, a stockbroker currently registered with Royal Alliance Associates Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $525,000.00 in damages founded on accusations of breach of fiduciary duty, negligence, misrepresentation, and the violation of FINRA Rules 2111 and 2110…

Daniel Todd Levine of Greenwood Village, Colorado, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $8,500.00 in damages based upon allegations of unsuitable trading and private securities transactions by Levine while he was employed by Morgan Stanley. Financial Industry…

Janie Garza-Clark of Scottsdale, Arizona, a stockbroker formerly registered with TCFG Wealth Management LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Garza-Clark failed to testify in an investigation relating to allegations of her activities with a customer during the time that Garza-Clark…

Shawn Edward Good of Wilmington, North Carolina, a stockbroker formerly registered with Morgan Stanley, has been charged by Securities and Exchange Commission (SEC) with operating a Ponzi scheme causing $2,000,000.00 in losses to investors. SEC v. Shawn Good, Case No. 7:22-cv-00060 (April 18, 2022). According to the Complaint, between December 2012 and February of 2022,…

Michael William Leahy of Red Bank, New Jersey, a stockbroker formerly registered with First Standard Financial Company LLC, is named in a customer initiated investment related FINRA securities arbitration claim in which the customer was awarded $2,842,976.79 in damages based on Leahy being found liable for sales practice violations. Financial Industry Regulatory Authority (FINRA) Arbitration…

Adam Gerard Belardino of Elmsford, New York, a stockbroker formerly registered with MML Investors Services LLC, is identified in a customer initiated investment related written complaint which was resolved for $13,431.00 on December 21, 2021, founded on accusations that unsuitable real estate investment trusts were sold to the customer by Belardino during the time that…

Samuel Girgiss of New York, New York, a stockbroker formerly registered with Worden Capital Management, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon accusations of excessive trading, unsuitable trading, and failure to supervise by Worden Capital Management. Financial Industry Regulatory Authority (FINRA)…

Clifford Ronald Reid of New York, New York, a stockbroker currently registered with Reid Rudiger LLC, is identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $21,000.00 in damages supported by accusations that Reid breached a fiduciary duty to the customer in reference to stock and over-the-counter equities trades…

Samuel Ray Head of Seneca, South Carolina, a stockbroker formerly registered with Voya Financial Advisors Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $60,000.00 in damages based upon allegations of unsuitable trading by Head relating to a closed-end fund while Head was associated with Voya Financial…

Christopher John Shaw (also known as Chris John Shaw), a stockbroker formerly registered with Kalos Capital, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 on June 30, 2021, supported by accusations of breach of fiduciary duty relating to illiquid and risky alternative investments, including non-traded…

Chad Mackland of Council Bluff, Iowa, a stockbroker formerly registered with Lion Street Financial and MML Investors Services, has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment adviser representative supported by findings of Mackland pleading guilty to a charge of Ongoing Criminal Conduct. Order Instituting Administrative Proceedings File…

Christopher John Passero of Hurricane, West Virginia, a stockbroker currently registered with Money Concepts Capital Corp, has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Passero shared in customers’ losses when he was registered with Money Concepts Capital…

Robert C. David of Farmington Hills, Michigan, a stockbroker formerly registered with Morgan Stanley Smith Barney LLC, has been fined $15,000.00 and suspended for 20 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he falsified customer account information, overconcentrated customers’ accounts in lower-quality securities, and…

John Joseph Conroy of New York, New York, a stockbroker formerly registered with Andrew Garrett Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $14,999.00 in damages supported by allegations of negligence and fraud as it pertained to stock trades executed in the customer’s account while Conroy…

Richard Mark Braverman (also known as Rich Braverman) of Lancaster, Pennsylvania, a stockbroker formerly registered with Geneos Wealth Management Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $275,000.00 in damages based upon accusations that Braverman provided unsuitable advice to the customer regarding direct participation program…

Christopher Grant Conness of Fort Lauderdale, Florida, a stockbroker formerly registered with GF Investment Services LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by allegations that the customer was provided with unsuitable recommendations of real estate securities and alternative investments, including direct…

Cindy Lucille Porto Chiellini of Lexington, South Carolina, a stockbroker currently registered with Centaurus Financial Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $70,000.00 in damages founded on allegations of unsuitable real estate securities and corporate bonds being recommended by Chiellini during the time that…

John Anthony Orlando of Fort Lauderdale, Florida, a stockbroker formerly registered with Westpark Capital Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with making unsuitable recommendations, falsifying information on Westpark Capital’s books and records relating to his solicitation of trades, and falsifying statements to the securities broker dealer regarding his…

Kevin Marshall McCallum of Birmingham, Alabama, a stockbroker formerly registered with LPL Financial LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $725,650.00 in damages founded on allegations that the customer was overconcentrated in a business development company (BDC) when McCallum was registered with LPL Financial LLC….

Michael Fasciglione of Mineola, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $95,000.00 in damages based upon allegations that Fasciglione made misrepresentations to the customer regarding stocks during the time that he was employed by Aegis Capital…

Dustin Paul Shafer of Springfield, Illinois, a stockbroker formerly registered with Newbridge Securities Corporation, is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $45,000.00 in damages founded on accusations that the customer was placed into unsuitable direct participation program interests or limited partnership interests when Shafer was employed…

Scott Neil Hananel of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, has been fined $7,500.00 and suspended for 15 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hananel engaged in unsuitable and excessive trading when he was associated with Aegis Capital…

Scott Michael Rosenberg of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $8,000,000.00 in damages based upon accusations that Rosenberg provided unsuitable recommendations and misrepresented information concerning an options overlay strategy that the…

Patrick Nicholas Teutonico of Seaford, New York, a stockbroker currently registered with Network 1 Financial Securities, has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Teutonico made excessive and unsuitable trades during the time that he was associated with Network 1…

John Edward Massa of Staten Island, New York, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages based upon accusations of Massa’s unsuitable recommendations of real estate investment trusts (REITs) when he was associated with Cetera Investment Services. Financial Industry Regulatory Authority (FINRA) Arbitration No….

David Michael Stevens of La Jolla, California, a stockbroker formerly registered with Park Avenue Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of unauthorized transactions and forgery when Stevens was registered with Park Avenue Securities. Letter of Acceptance, Waiver, and Consent No. 2020068606301…

Mark Allen Barrand of Denver, Colorado, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages founded on accusations of Barrand’s unsuitable investment advice as it pertained to real estate securities when Barrand was registered with…

John Stephen Pronovost of Watertown, Connecticut, a stockbroker formerly registered with Cambridge Investment Research, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $43,534.53 in damages supported by accusations of misrepresentation by Pronovost regarding the customer’s investment in LJM Preservation and Growth Fund, resulting in damages to…

Shawn Bruce Davis of Auburn, California, a stockbroker formerly registered with Independent Financial Group, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages supported by accusations that REIT and interval fund transactions effected in the customer’s account by Davis were unsuitable for the customer during…

Gerald James O’Halloran of Punta Gorda, Florida, a stockbroker currently registered with Union Capital Company, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations of O’Halloran’s unsuitable recommendations to the customer concerning business development companies (BDCs) and limited partnerships (LPs)…

Gerard Joseph Costello of New York, New York, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related civil action in which investors collectively sought $1,200,000,000.00 in damages founded on allegations of Costello’s failure to disclose risks concerning Yield Enhancement Strategy (YES) when Costello was registered with…

Masood Husain Azad (also known as Mike Azad) of League City, Texas, a stockbroker formerly registered with First Allied Securities Inc., is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $500,000.00 in damages founded on accusations of breach of contract, misrepresentation, and negligent supervision of the customer’s…

Bryon Edwin Martinsen of Kings Park, New York, a stockbroker currently registered with Centaurus Financial Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $15,801.50 in damages based upon allegations that the customer’s account had been overconcentrated by Martinsen in real estate securities in illiquid investments while…

Ray Gene Reese of Farmington, Missouri, a stockbroker currently registered with Money Concepts Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $40,000.00 in damages founded on allegations of Reese’s unsuitable advice regarding a real estate security the customer purchased during the time that Reese…

Scott Thomas Wolfrum of Indianapolis, Indiana, a stockbroker formerly registered with David Noyes Company, is the subject of a customer initiated investment related FINRA arbitration claim in which the customer sought between $100,000.00 and $500,000.00 in damages based upon allegations that unsuitable recommendations were made to the customer by Wolfrum concerning alternative investments, including real…

Luke Michael Johnson of Scottsdale, Arizona, a stockbroker formerly registered with Coastal Equities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages supported by accusations of Johnson made unsuitable recommendations to the customer concerning real estate securities and direct investments, including direct participation…

Lester William Burroughs (also known as Chad Burroughs) of Torrington, Connecticut, a stockbroker formerly registered with Lincoln Investment Planning LLC (Lincoln Investment), is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages supported by accusations of misrepresentations relating to fixed and variable annuities when Burroughs was employed…

Randy Lee Birkinbine, of North Oaks, Minnesota, a stockbroker formerly registered with Ausdal Financial Partners Inc., is referenced in a customer initiated investment related securities arbitration claim where the customer requested $100,000.00 in damages founded on accusations of breach of fiduciary duty concerning Birkinbine’s private placements when he was employed by Ausdal Financial Partners. Financial…

Matthew Stern Buchsbaum of New York, New York, a stockbroker currently registered with UBS Financial Services, is referenced in a customer initiated investment related class action complaint in which customers sought $1,200,000,000.00 in damages supported by accusations of the failure to disclose risks, conflicts of interest, and performance of Yield Enhancement Strategy (YES) between 2016…

John Joseph Stapleton of Garden City, New York, a stockbroker currently registered with Spartan Capital Securities, is referenced in a customer initiated investment related securities arbitration claim which was settled for $10,000.00 in damages founded on allegations of unsuitable investment recommendations and misrepresentations by Stapleton when he was employed by Spartan Capital Securities. Financial Industry…

James Andrew Geake (also known as Jim Geake) of Skokie, Illinois, a stockbroker formerly registered with Madison Avenue Securities, is referenced in a customer initiated investment related FINRA arbitration claim which was settled for $450,000.00 in damages supported by accusations of unsuitable recommendations by Geake regarding alternative investments, including Hospitality Investors Trust, during the time…

Paul Ronald Koch of Wayzata, Minnesota, a stockbroker formerly registered with RBC Capital Markets LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA while he was under investigation for allegedly making unsuitable investment recommendations and diverting funds…

Terry Tzagarakis (also known as Terry Rakis) of Bay Ridge, New York, a stockbroker formerly registered with Spartan Capital Securities, is referenced in a customer initiated investment related FINRA arbitration claim where the customer requested $1,240,169.28 in damages supported by accusations that between 2013 and 2021, the customer’s account had been churned. Financial Industry Regulatory…

David Michael Lademan of Okemos Michigan, a stockbroker formerly registered with Kalos Capital Inc., is referenced in a customer initiated investment related FINRA arbitration claim in which the customer sought up to $500,000.00 in damages founded on allegations of negligent supervision and breach of contract concerning private placements and real estate securities through Lademan at…

John Anthony Orlando of Melbourne Beach, Florida, a stockbroker currently registered with SW Financial LLC, is the subject of a FINRA investigation where FINRA has recommended that Orlando face disciplinary action founded on accusations of his violation of federal securities laws and FINRA rules. FINRA Investigation No. 20190636333 (February 22, 2022). According to FINRA Public…

Ricky Alan Mantei (also known as Ricky Alan Mantel), a stockbroker and branch manager of Centaurus Financial, is the subject of a customer initiated investment related FINRA arbitration claim in which the customer requested $100,000.00 in damages supported by accusations that between 2013 and 2019, misrepresentations and unsuitable trades were made at Centaurus Financial. Financial…

Albert Foronda of New York, New York, a stockbroker currently registered with Spartan Capital Securities LLC, is identified in a customer initiated investment related FINRA arbitration claim where the customer sought $36,836.24 in damages founded on accusations of unauthorized and unsuitable trading by Foronda concerning a private placement when Foronda was registered with Spartan Capital…

Dale Edward Wright of Henrico, Virginia, a stockbroker formerly registered with Cambridge Investment Research Inc., is identified in a customer initiated investment related written complaint on August 4, 2021, where the customer sought compensatory damages founded on allegations of unsuitable investment advice involving life insurance policies and investment strategies when Wright was registered with Cambridge…

Richard Foerster Reynolds of Garden City, New York, a stockbroker formerly registered with Worden Capital Management, is identified in a customer initiated investment related FINRA arbitration claim where the customer sought $1,606,034.39 in damages supported by allegations of breach of fiduciary duty and churning of the customer’s account by Reynolds when he was registered with…

Andrew Bruce Elsoffer of Pepper Pike, Ohio, a stockbroker formerly registered with Stifel Nicolaus Company Incorporated, has been fined $15,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unauthorized trading, loaned funds to a Stifel Nicolaus customer, and…

Michael Gerard Tate (also known as Mike Tate) of San Mateo, California, a stockbroker formerly registered with Securian Financial Services Inc., is the subject of a customer initiated investment related FINRA arbitration claim which was settled for $37,500.00 in damages supported by accusations of Tate making an unsuitable sale of a variable annuity to the…

Serge Parakhnevich (also known as Serge Parker) of New York, New York, a stockbroker currently registered with PHX Financial Inc., is the subject of a customer initiated investment related FINRA arbitration claim which was settled for $14,999.00 in damages based upon accusations of breach of fiduciary duty by Parakhnevich concerning over-the-counter equities executed in the…

Nicholas James Schiano of New York, New York, a stockbroker currently registered with Spartan Capital Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $350,343.10 in damages founded on accusations that the customer’s account was churned and that unauthorized trades were made by Schiano during…

Marshall Owen Isaacson of Boca Raton, Florida, a stockbroker formerly registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA arbitration claim where the customer sought $75,000.00 in damages founded on allegations of negligence, breach of contract, and breach of fiduciary duty by Isaacson in regard to alternative investment transactions,…

Mark William Pearcy of San Diego, California, a stockbroker formerly registered with MSI Financial Services Inc. (MetLife), is referenced in a customer initiated investment related arbitration claim which was settled for $100,000.00 in damages based upon allegations of Pearcy’s misrepresentation of a variable universal life insurance policy during the time that Pearcy was employed by…

Steve Jeffrey Cummings of Fort Deposit, Alabama, a stockbroker formerly registered with Berthel Fisher Company Financial Services Inc., is the subject of a customer initiated investment related FINRA arbitration claim where the customer sought $250,000.00 in damages based upon allegations of Cummings’ misrepresentations and unsuitable sales of a business development company and real estate security…

Mark Alan Kemp of Corpus Christi, Texas, a stockbroker currently registered with McNally Financial Services Corporation, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $370,006.75 in damages based upon accusations of fraud and the violation of federal and Texas securities laws concerning mutual fund and direct…

William Michael Robertson of Deer Park, Texas, a stockbroker formerly registered with First Allied Securities Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages based upon allegations of negligence and breach of contract in regard to real estate security transactions executed by Robertson during…

Bradford Eric Bugher, of Wilmington, Delaware, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested unspecified damages supported by accusations of Bugher’s failure to “follow instructions” relating to the customer’s common and stock transactions between November…

Sean P. McCabe, of Westbury, New York, a stockbroker formerly registered with Worden Capital Management, is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $330,113.00 in damages supported by accusations of misrepresentation relating to stock trading during the time that McCabe was employed by Worden Capital Management….

Kirby Spencer McDonald, of Omaha, Nebraska, a stockbroker formerly registered with Cetera Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,001.00 in damages founded on accusations of unsuitable recommendations by McDonald regarding real estate security transactions when McDonald was associated with Cetera Advisors. FINRA…

Michael Anthony Valdini, of Garden City, New York, a stockbroker formerly registered with Worden Capital Management LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $1,277,631.00 in damages founded on allegations of breach of contract and violations of both FINRA and SEC rules concerning over-the-counter equities…

James J. Mariani, of Mineola, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $291,100.00 in damages founded on accusations that Mariani provided unsuitable investment recommendations to the customer to purchase non traded real estate securites while…

William Nicholas Athas, of Melville, New York, a stockbroker formerly registered with Worden Capital Management and KC Ward Financial, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement issued by FINRA Office of Hearing Officers. Department of Enforcement v. William…

Ahmet Kildis (also known as Matt Kildis), of Bayonet Point, Florida, was named in a customer initiated investment related FINRA securities arbitration claim where the FINRA Arbitration Panel ordered the modification of beneficiaries on a SunTrust investment account and ordered Kildis and SunTrust to pay $18,207.45 in costs based upon causes of action including breach…

Robert Hayes Hoffmann, of Greenwood, Indiana, a stockbroker formerly registered with Woodbury Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages based upon the alleged unsuitable recommendations to purchase variable annuities during the time that Hoffmann was registered with Woodbury Financial…

John Dennis Lowry, of New York, New York, a stockbroker and Chief Executive Officer of Spartan Capital Securities, is referenced in another customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by allegations including failure to supervise, unauthorized trading, misrepresentation, unsuitability, breach of fiduciary duty, and churning concerning…

Jorge Luis Alfonso, of Miami, Florida, a stockbroker formerly registered with Infinex Investments Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought between $50,000.00 and $100,000.00 in damages founded on accusations of breach of fiduciary duty as it pertained to Northstar Financial Services Bermuda products when Alfonso…

Joseph Morris Thurnherr, of Brandon, South Dakota, a stockbroker formerly registered with Spartan Capital Securities LLC, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $75,000.00 in damages founded on allegations of negligent supervision, breach of fiduciary duty, and breach of contract during the time that Thurnherr…

Vincent Leonard Petrangelo, of Springfield, Massachusetts, a stockbroker formerly registered with Raymond James Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages founded on allegations of failure to supervise stock and mutual fund trading in the customer’s account when Petrangelo was employed…

William Danny Chancellor (also known as Danny Chancellor), of Ridgeland, Mississippi, a stockbroker formerly registered with First Allied Securities Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer requested $132,000.00 in damages based upon allegations that he made the unsuitable recommendation of alternative investments when he was associated…

Marlyn Leroy McClain (also known as Marylou Leroy McClain), of Elkhorn, Nebraska, a stockbroker currently registered with NYLife Securities, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested compensation founded on allegations of unsuitable investment recommendations by McClain regarding the purchase of variable universal life insurance policies…

William Charles Burks (also known as Bill Burks II), of Flower Mound, Texas, a stockbroker currently registered with Centaurus Financial Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages founded on accusations of breach of fiduciary duty by Burks regarding a real estate…

Marcious Dickerson (also known as Marty Dickerson), of Livonia, Michigan, a stockbroker currently registered with Centaurus Financial Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim that was resolved for $39,500.00 in compensation to the customer founded on accusations that between March 23, 2020, and June 26, 2020, unauthorized trading of…

Shaun Evan Stein, of Jersey City, New Jersey, a stockbroker currently registered with National Securities Corp, is identified in a customer initiated investment related FINRA securities arbitration claim that was resolved for $20,000.00 in damages based upon allegations of unsuitable recommendations by Stein in regard to a private placement, real estate security, and over-the-counter equity…

Neil Stanley Kaplan, of Bethesda, Maryland, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $240,000.00 in compensation based upon accusations that trades were executed in the customer’s account on an excessive basis by Kaplan while at Morgan Stanley. Financial…

Darren Wayne Oglesby, of Monroe, Louisiana, a stockbroker currently registered with Money Concepts Capital Corp and Money Concepts Advisory Services, is referenced in a customer initiated investment related FINRA arbitration claim where the customer sought $191,000.00 in damages based upon allegations of Oglesby’s omissions of risks concerning alternative investments sold to the customer during the…

Kurt Anthony Stein of New York, New York, a stockbroker formerly registered with National Securities Corporation, is the subject of a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages based upon accusations of unsuitable investment recommendations concerning non-traded Real Estate Investment Trusts or REITs while Stein was employed by National…

Willard Louis Pugh, of Boca Raton, Florida, a stockbroker formerly registered with National Securities Corp, is identified in a customer initiated investment related FINRA arbitration claim which was settled for $60,000.00 in damages supported by allegations of an unsuitable private placement transaction by Pugh while he was associated with National Securities Corp. Financial Industry Regulatory…

Pratul Victor Agnihotri (also known as Pratol Agnihotri), of New York, New York, a stockbroker formerly registered with Spartan Capital Securities LLC and Spartan Capital Management LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $83,086.81 in damages based upon accusations that between 2013 and 2021, their…

Dennis Phillip Ayre, of Beverly Hills, California, a stockbroker formerly registered with Hilltop Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he refused to testify in FINRA’s investigation regarding accusations of Ayre’s unsuitable recommendations to customers. Letter of Acceptance, Waiver, and…

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