Evan Kyle Davis (also known as Garry Davis) a stockbroker formerly registered with Raymond James Associates Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages founded upon accusations of the violation of Securities Exchange Act of 1934 Section 10(b) in reference to the unit…

Andrew W. Topka of Mount Pleasant South Carolina a stockbroker formerly registered with Kalos Capital Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $152,923.00 in damages based on accusations that the customer’s account had been overconcentrated in alternative investments by Topka when he was employed…

Stephen James Sullivan (also known as Stephen Sullivan) of New York New York a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a Financial Industry Regulatory Authority (FINRA) investigation in which he might face disciplinary action from the regulator based on allegations of defrauding customers by churning their accounts and making excessive trades….

Jimmy Yang Driggers (also known as James Yang Driggers and as Jim Driggers) of Sarasota Florida a stockbroker formerly registered with Morgan Stanley is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages supported by allegations of Driggers’ unsuitable trading or recommendations of alternative investments including…

Steven Paul Colacurcio (also known as Steve Colacurcio) of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $35,000.00 in damages supported by allegations that they were not made aware by Colacurcio of the fees…

Lee Victor Nordstrom of Spokane Washington a stockbroker formerly registered with Vorpahl Wing Securities 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 a FINRA investigation regarding his activities while associated with Vorpahl Wing Securities. Letter of Acceptance Waiver…

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Money Concepts Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $150,000.00 in damages supported by accusations of unsuitable direct participation program interests and limited partnership interests for their account during the time that…

Jeffrey Guy LaBelle (also known as Jeff LaBelle) of Sarasota Florida a stockbroker formerly registered with LPL Financial LLC and First Allied Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $350,000.00 in damages based upon allegations that LaBelle breached a contract and breached a…

Rick Alan Davidson of Miami Florida a stockbroker formerly registered with National Securities Corp is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $1,000,000.00 in damages based upon allegations that their account was exposed to unsuitable trading of stocks by Davidson during the time that he was associated…

Daniel Todd Lerner of White Plains New York a stockbroker currently registered with David Lerner Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $450,000.00 in damages founded upon accusations of misrepresentations and omissions regarding mutual fund transactions and a private placement offering during…

Norman Arnold Robbins (also known as Norman Arnold Rosenberg) of Boca Raton Florida a stockbroker formerly registered with Summit Brokerage Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages supported by accusations of an overconcentration of their account in commodity funds, real estate…

James Lee Greene (also known as Herbie Greene) of Boca Raton Florida a stockbroker currently registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon accusations that they invested in an unsuitable private placement because of Greene when…

David Michael Lademan of Okemos Michigan a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related written complaint on August 18, 2021, in which the customer requested compensatory damages founded on allegations of false statements and omissions relating to business development company (BDC), real estate security (REIT), equipment leasing,…

Jorge A. Reyes (also known as Jorge Quiroz and as George Reyes) of Miami Florida a stockbroker formerly registered with CP Capital Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA National Adjudicatory Council Decision containing findings of Reyes converting funds, making fraudulent…

Samuel Izaguirre of Miami Lakes Florida a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $120,000.00 in damages supported by allegations of the customer being misled regarding details of alternative investments held in their account during the period that…

Steven Mackie Woods of New York New York a stockbroker formerly registered with Laidlaw Company Ltd. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,123.00 in damages founded upon accusations of excessive trading of stocks and over-the-counter equities by Woods when he was associated with Laidlaw…

Steven Andrew Greer (also known as Andrew Greer) of Charlotte North Carolina a stockbroker formerly registered with GF Investment Services is the subject of a customer initiated investment related FINRA securities arbitration claim on September 3, 2020, in which the customer sought compensatory damages founded on accusations that alternative investments had been recommended by Greer…

Jamie John Worden of New York New York the Owner and CEO of Worden Capital Management LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to comply with FINRA’s investigation into a private placement offering of pre-IPO securities through Worden Capital…

Michele George Savarese (also known as Michael Savarese and as Mike Savarese) of San Diego California a stockbroker and investment adviser representative of Presidential Brokerage Inc. (now known as Forta Financial Group) is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon accusations…

Bruce Anthony Ciallella of Boca Raton Florida a stockbroker formerly registered with Summit Brokerage Services Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $100,000.00 in damages supported by accusations of fraud and the violation of Florida Securities and Investor Protection Act concerning the sale of…

David Robert Kennon of Sarasota Florida a stockbroker formerly registered with First Allied Securities Inc. is the subject of a customer initiated investment related written complaint on July 22, 2021 where the customer sought more than $100,000.00 in damages based on accusations of Kennon’s negligence and breach of contract during the period in which he…

Stephen John Ferencik (also known as Stephen John Ferencilz) of Atlanta Georgia a stockbroker currently registered with Arkadios Capital is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages based upon allegations of unsuitable alternative investment transactions by Ferencik and Arkadios Capital between 2017 and…

Kimberly Ann Barentsen (also known as Kimberly Ann Berentsen, Kimberly Ann Bietema, and Kimberly Ann Bielema) of Walnut Creek California a stockbroker formerly registered with First Allied Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought between $100,000.00 and $500,000.00 in damages based on allegations…

Dawn Alison Strachan (also known as Dawn Alison Osogwin and as Dawn Allison Osogwin) of Torrance California a stockbroker formerly registered with Questar Capital Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $999,999.00 in damages based on accusations of Strachan’s unsuitable recommendations regarding private placements…

Christopher Rice Callagy of New York New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $180,000.00 in damages based on accusations of poor investment performance during the time that Callagy was associated with Aegis Capital Corp. Financial…

John Hillman Timberlake of Atlanta Georgia a stockbroker formerly registered with Carter Terry Company Inc. is referenced in a customer initiated investment related written complaint on December 15, 2020 in which the customer sought unspecified damages based on allegations of unauthorized and unsuitable trades when Hillman was associated with Carter Terry Co. Inc. Financial Industry…

Carter David Mansbach of New York New York a stockbroker currently registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $300,000.00 in damages supported by allegations of Mansbach’s unsuitable over-the-counter equities transactions while he was associated with National Securities Corp. Financial Industry…

William Joseph Conn (also known as Bill Conn) of San Francisco California a stockbroker formerly registered with JP Morgan Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $2,000,000.00 in damages founded upon allegations that between 2012 and 2018, Conn effected unauthorized transactions while…

Kim Marie Monchik (also known as Kim Marie Amendola) of New York New York a stockbroker currently registered with Spartan Capital Securities LLC is the subject of a Financial Industry Regulatory Authority (FINRA) investigation in which FINRA believes that Monchik should face disciplinary action based on potential violations of its rules relating to customer disputes….

Shay W. Scruggs of Houston Texas a stockbroker and investment adviser representative of UBS Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought between $2,000,000.00 and $3,000,000.00 in damages based upon allegations that they had been placed into unsuitable equities by Scruggs between 2013 and…

Brian Michael Jackson of Tarrytown New York a stockbroker formerly registered with David Lerner Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $101,000.00 in damages supported by accusations of them being sold an unsuitable real estate security and mutual fund by Jackson during…

Thomas Boley Hunt of Twin Falls Idaho a stockbroker currently registered with Wells Fargo Advisors is the subject of a customer initiated investment related written complaint which was resolved for $20,000.00 in damages on July 22, 2020 supported by allegations that Hunt’s transactions at Wells Fargo Advisors were not suitable for the customer. Hunt has…

Jordan David Samelson of Huntington New York a stockbroker currently registered with Wells Fargo Clearing Services LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages supported by accusations of unauthorized trades during the period that Samelson was associated with Wells Fargo Clearing Services….

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 sought $1,000,000.00 in damages founded on accusations that unsuitable energy securities were recommended by Chu when he was associated with RBC Capital Markets….

Michael J. Haffling of Chicago Illinois a stockbroker currently registered with Kalos Capital Inc. and Kalos Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested more than $100,000.00 in damages founded on allegations of negligence and breach of fiduciary duty concerning real estate security transactions by Haffling…

Daniel G. Dillard of Austin Texas a stockbroker formerly registered with Sagepoint Financial Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,500,000.00 in damages founded on allegations that Dillard provided unsuitable investment recommendations regarding direct participation program interests or limited partnership interests during the period that…

Cynthia Diane Cowden (also known as Cynthia Case) a stockbroker formerly registered with NPB Financial Group LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $300,000.00 in damages based upon allegations of the violation of federal and state securities laws and the breach of a fiduciary…

Jordan Stuart Berlin of Bedford Corners New York a stockbroker and investment adviser representative of FSC Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $87,500.00 in damages based on allegations of negligence concerning real estate investment trusts (REITs) that Berlin sold while he was employed…

Charles Edward Krsek (also known as Chuck Krsek) of The Villages Florida a stockbroker formerly registered with Cetera Advisors LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled to resolve allegations that Krsek provided unsuitable recommendations to the customer as it pertained to the purchase of a…

Blake H. Kiernan of Melville New York a stockbroker registered with Four Points Capital Partners LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon allegations that Kiernan did not comply with a FINRA Arbitration Award in which he was required to pay a customer $69,250.00…

Howard Joseph Allen III of New York New York a former stockbroker and executive of Portfolio Advisors Alliance LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $37,761.00 in damages based on accusations of negligence, breach of fiduciary duty and breach of contract as it pertained to…

Douglas Keith Ellman of Boca Raton Florida a stockbroker currently registered with Shearson Financial Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested unspecified damages founded upon allegations that Ellman placed them into inappropriate common and preferred stock between February of 2019 and November of…

William Aubrey Morrow (also known as W. Aubrey Morrow) of San Diego California a stockbroker and investment adviser representative of Independent Financial Group (IFG) is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon allegations that they were placed into unsuitable direct investments…

Frank Mastrosimone of Basking Ridge New Jersey a stockbroker formerly registered with Royal Alliance Associates is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages supported by accusations that they had been placed into an unsuitable private investment fund by Mastrosimone while he was…

Vincent Anthony Virga (also known as Vincenzo Anthony Virga) of Bayonne New Jersey 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 $495,000.00 in damages based on allegations that Virga provided unsuitable advice to them regarding alternative investments including…

George Belesis of New York New York a stockbroker formerly registered with Portfolio Advisors Alliance LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on accusations that he failed to respond to FINRA’s request for his information. Case No. 2019061940901 (March 9, 2020). According to FINRA…

Peter David Schiff of Newport Beach California a stockbroker currently registered with AGP Alliance Global Partners is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $45,000.00 in damages founded upon accusations of breach of contract and breach of fiduciary duty as it pertained to private placements sold…

Rodrigue Lors (also known as Rodrique Lors) of Westbury New York a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $200,000.00 in damages founded upon allegations that Lors provided unsuitable recommendations as it pertained to private placements during the…

Glennon James Cole (also known as Glen James Cole) of Manchester Missouri a stockbroker formerly registered with Moloney Securities Co. Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $400,000.00 in damages based on accusations that they were placed into unsuitable real estate securities and direct…

Gerald Roger Dewes of East Amherst New York a stockbroker formerly registered with Cadaret Grant Co. Inc. is referenced in a customer initiated investment related written complaint on April 7, 2021, in which the customer requested more than $5,000.00 in damages based on allegations of a breach of fiduciary duty by Dewes as it pertained…

James Edward Lyons of Shreveport Louisiana a stockbroker formerly registered with Raymond James Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,000,000.00 in damages founded on allegations of Lyons’ unsuitable trading of sector-specific investments and direct investments while he was associated with Raymond James…

Scott Geoffrey Madison of Riverhead New York a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to cooperate with FINRA’s investigation into why Merrill Lynch terminated his registration as stockbroker. Letter…

Robert Scott Smith of Newberg Oregon a stockbroker formerly registered with Concorde Investment Services is the subject of a customer initiated investment related written complaint on May 10, 2021 in which the customer sought $678,500.00 in damages supported by accusations that they had been sold unsuitable private placements by Smith while he was registered with…

Jeremy Seth Rosen of Easton Pennsylvania a stockbroker formerly registered with Nationwide Planning Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $1,535,568.66 in damages founded on allegations that Rosen made misrepresentations to them regarding stock trades during the period that he was associated…

Joseph Augustien Lianzo of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Lianzo made excessive and unauthorized trades in customers’ accounts when he was associated with Laidlaw Company….

Jonathan Todd Pyne of Plymouth Minnesota a stockbroker currently registered with Berthel Fisher Company Financial Services Inc. has been referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $116,000.00 in damages based upon accusations of misrepresentation relating to their investments in real estate securities while Pyne was associated…

Susan Lavon Welo of Mayville North Dakota a stockbroker formerly registered with Cetera Advisor Networks LLC and Securities America Inc. is referenced in a customer initiated investment related written complaint on July 6, 2021 where the customer requested compensation founded on accusations that Welo effected unsuitable real estate investment trust purchases for their account at…

Michael John Osland of Scottsdale Arizona a stockbroker currently registered with Geneos Wealth Management Inc. is the subject of a customer initiated investment related written complaint which was settled for $25,000.00 on August 9, 2021 based on allegations that Osland made misrepresentations to the customer in regard to a mutual fund that he sold in…

Bryant Edwin Caveness of Kingsport Tennessee a stockbroker formerly registered with Ameriprise Financial Services LLC has been referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $230,000.00 in damages supported by accusations of unsuitable trades and breach of fiduciary duty by Caveness when he was associated with Ameriprise…

Kerry Lee Hoffman of Mundelein Illinois a stockbroker formerly registered with LPL Financial LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative and barred from associating with securities firms across the country according to an Order based on allegations of Hoffman violating securities laws relating to…

William Robert Young (also known as Bill Young) of Bethesda Maryland a stockbroker formerly registered with H. Beck Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $123,000.00 in damages based on accusations that Young caused them to invest in unsuitable securities including real estate investment…

Kevin Richard Wilson of New York New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,000.00 in damages supported by accusations that they had been sold unsuitable private placements and over-the-counter equities by Wilson during the period…

Allan Perry Montalbano of Garden City New York a stockbroker formerly registered with Four Points Capital Partners LLC and Worden Capital Management LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $543,163.00 in damages founded on accusations that they had received unsuitable investment recommendations from Montalbano…

Craig Bradford Eastwood of Hershey Pennsylvania a stockbroker currently registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages founded on allegations that Eastwood provided unsuitable recommendations in regard to a variable annuity in November of 2017 when he was…

David Richard Geake of Northbrook Illinois a stockbroker currently registered with American Trust Investment Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by accusations that Geake breached a fiduciary duty and placed the customer into securities that were not suitable for them…

Michael Fasciglione of Mineola New York a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $422,000.00 in damages supported by allegations of Fasciglione’s unsuitable transactions relating to a private placement when Fasciglione was associated with National Securities Corp. Financial Industry…

Steven Jay Jacobson of New Orleans Louisiana a former stockbroker of Ameriprise Financial Services and former investment adviser representative of Advisor Resource Council has been discharged by Advisor Resource Council on January 20, 2021 supported by allegations of Jacobson failed to comply with the firm’s “action plan” intended to address his sales practice violations with…

David Michael Murray of New York New York a stockbroker formerly registered with Worden Capital Management LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $653,700.00 in damages based upon accusations that between August of 2017 and December of 2019, stock and over-the-counter equities transactions…

John Sebastion Cangialosi Jr of New York New York a stockbroker formerly registered with Worden Capital Management has been fined $7,500.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Cangialosi engaged in excessive trading of customer accounts at Worden Capital Management…

Michael James Farrell  of Red Bank New Jersey a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $190,873.62 in damages based on accusations that Farrell provided unsuitable recommendations to them in regard to investments held in the customer’s Aegis…

Alfonse Joseph Stazzone Jr of Holmdel New Jersey a stockbroker formerly registered with Woodstock Financial Group has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Stazzone made unsuitable and excessive trades in a customer’s account when Stazzone was…

Sonia Balfour-Fears (also known as Sonia Delores Balfour and as Sonia D. Fears) of Atlanta Georgia a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages founded on accusations that Balfour-Fears made misrepresentations to the…

George Craig Merhoff Jr of Klamath Falls Oregon a stockbroker formerly registered with Cetera Advisors LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $500,000.00 and $1,000,000.00 in damages based upon accusations that the customer’s account had been overconcentrated by Merhoff in unsuitable investments including…

William Wright Jr. of New York New York a stockbroker formerly registered with National Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Wright failing to cooperate during the period that he was investigated for “borrowing” customer funds. Letter of Acceptance Waiver…

Steven Paul Reznik of Tallahassee Florida a stockbroker formerly registered with Raymond James Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $100,000.00 in damages based on allegations that the customer was sold unsuitable equities by Reznik while he was associated with Raymond James Financial Services….

Jason Lee Seale III of Novato California a stockbroker and investment adviser representative of American Wealth Management Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that unauthorized transactions were executed in the customer’s account by Seale when he was associated…

David John Strnad of Franklin Tennessee a stockbroker formerly registered with Morgan Stanley has been suspended as a stockbroker between July 1, 2019 and December 31, 2020 by Florida Office of Financial Regulation based upon Strnad being sanctioned by Financial Industry Regulatory Authority (FINRA) for unauthorized trading. Case No. 249967-19-AG. FINRA Public Disclosure shows that…

Wilfredo Felix Jr. of New York New York the Chief Executive Officer and Chief Financial Officer at Primex Prime Electronic Execution Inc. (Primex) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with FINRA while investigated regarding the securities broker…

Rick Douglas Konecny of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages based upon allegations that unsuitable transactions were affected in customer accounts by Konecny when he was associated with JP Morgan Securities….

David John Melilli of Moorestown New Jersey a stockbroker formerly registered with SagePoint Financial Inc. is the focus of a FINRA investigation on April 1, 2021 in which FINRA has determined that disciplinary action should be taken against Melilli for allegedly making excessive and unsuitable trades and for forging customer signatures. Case No. 20190636810 (Apr….

Michael Alejandro Castillero of New York New York a stockbroker formerly registered with Alexander Capital LP is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $62,181.00 in damages founded on accusations that the customer’s account was churned and overconcentrated in stocks because of Castillero during the time that…

Robert Douglas Armstrong (also known as R. Douglas Armstrong) of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is the subject of a customer initiated investment related written complaint on May 12, 2021 where the customer sought $2,000,000.00 in damages based on accusations of Armstrong’s failure to sell the customer’s penny…

Michael Joseph Sievert (also known as Mike Sievert) of Jacksonville Florida a stockbroker formerly registered with Triad Advisors is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $78,000.00 in damages founded on allegations that the customer had been placed into unsuitable direct investments when Sievert was associated…

Gerald Lee Brodsky of New York New York a stockbroker formerly registered with Dinosaur Financial Group LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $800,000.00 in damages based on accusations that the customer was placed into Concord Group Holdings through a private placement offering and that…

Steven Roland Knuttila of Perham Minnesota a stockbroker formerly registered with Capital Financial Services Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought more than $5,000.00 in damages founded on allegations that a contract between the customer and Capital Financial Services had been breached and that…

Craig Alan Sutherland of Columbus Ohio a stockbroker formerly registered with Money Concepts Capital Corp was fined by Ohio Department of Insurance supported by findings that Sutherland failed to report that another regulator took disciplinary action against him. Case No. 30849 (Nov. 10, 2020). Sutherland has been sanctioned twice before. On July 17, 2017, he…

Brandon Curt Stimpson of Logan Utah a stockbroker formerly registered with Allegis Investment Services LLC has been fined $125,000.00 and barred by Utah Securities Division from being a stockbroker in the state based on allegations of Stimpson omitting and misrepresenting investment information about index options and for committing fraud when he was associated with Allegis…

Mark Angelo Senofonte of Edison New Jersey a stockbroker formerly registered with Cetera Investment Services LLC is referenced in a customer initiated investment related written complaint on February 13, 2021 where the customer sought more than $5,000.00 in damages founded on accusations that the customer was sold an unsuitable real estate investment trust given the…

Dana Bruce Vietor of Dallas Texas a stockbroker formerly registered with CFD Investments Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $108,667.00 in damages based upon allegations of fraud and a breach of contract between the customer and the securities broker dealer in regard to…

Walter Warren Parker of Rowlett Texas a stockbroker formerly registered with Titan Securities is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $95,000.00 in damages supported by accusations of negligence regarding the sale of interests in a private placement and the sale of a real estate security…

Jonathan Douglas Freeze (also known as Jon Freeze) a former stockbroker of Fortune Financial Services Inc. and representative of Alternative Energy Holdings Inc. has been charged by Securities and Exchange Commission (SEC) with defrauding twenty-five customers through fraudulent promissory notes transactions. Securities and Exchange Commission v. Jonathan D. Freeze et al. Case No. 2:21-cv-720 (June…

Taek Man Chong of Mercer Island Washington a stockbroker formerly registered with Raymond James Financial Services Inc. is the subject of a customer initiated investment related complaint which was settled for $101,749.44 in damages on February 24, 2021 founded on accusations that the customer had been charged excessive commissions while Chong was associated with Raymond…

Daniel James O’Neill (also known as Dan O’Neill) of Melville New York a stockbroker formerly registered with Aegis Capital Corp. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that O’Neill executed unsuitable trades and engaged in excessive trading at Aegis Capital Corp. Department of Enforcement v. Daniel…

Richard Paul Martin of Goshen New York a stockbroker currently registered with Ameriprise Financial Services LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $330,430.00 in damages based on accusations of the customer being sold unsuitable investments including non-traded real estate investment trusts, annuities and insurance products…

Perry De Leeuw (also known as Perry Lynn De Leeun and as Perry Lynn Deleeuw) of Duluth Georgia a stockbroker formerly registered with PFS Investments Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $152,715.00 in damages based on accusations of the customer incurring damages after providing…

Jeffrey Allen Baber of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $95,000.00 in damages founded on accusations of unsuitable transactions being effected in the customer’s account and First Standard Financial Company…

Scott Vincent Kaup of Stuart Nebraska a stockbroker formerly registered with FSR Advisory Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested more than $5,000.00 in damages supported by accusations that Kaup provided unsuitable recommendations to the customer regarding private placements and real estate securities transactions…

Brant Christopher Ferguson of Dallas Texas a stockbroker and investment adviser representative of UBS Financial Services Inc. has been referenced in a customer initiated investment related written complaint on April 12, 2021 in which the customer requested more than $5,000.00 in damages based upon accusations that their account had been mismanaged during the time that…

Mark Huber of Racine Wisconsin a stockbroker and investment adviser representative of Concorde Investment Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $32,000.00 in damages supported by accusations that Huber breached a fiduciary duty in reference to a real estate investment trust (REIT) that…

Kishan Parikh (also known as Sean Parikh) of New York New York a stockbroker formerly registered with Aegis Capital Corp has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings of Parikh’s excessive and unsuitable trading in customer accounts resulting in losses. Department…

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