John Abraham Perez-Cubero, of Short Hills, New Jersey, a stockbroker registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Perez-Cubero refused to provide documents and information requested by FINRA. Letter of Acceptance, Waiver, and Consent No. 2023078273201 (September 11, 2023). FINRA Rule 8210…
Justin Y. Gerow, of Punta Gorda, Florida, a stockbroker registered with LPL Financial LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Gerow forged customer signatures on documents without their prior permission, causing the securities broker dealer to maintain inaccurate…
Jordan Stentiford of Ridgeland, Mississippi, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Stentiford refused to appear for testimony as requested by FINRA in its investigation into Stentiford’s potential forgery of customer signatures. Letter of Acceptance, Waiver,…
Zachary Ross McCraw (also known as Zach McCraw), of Ridgeland, Mississippi, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because McCraw failed to comply with an investigation into his potential forgery of customer signatures on insurance forms. Letter of Acceptance,…
John Celon Rabulan, of Norfolk, Virginia, a stockbroker registered with NYLIFE Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rabulan failed to respond to FINRA’s request for information. Case No. 2023078315301 (December 11, 2023). FINRA initially suspended Rabulan on October 2, 2023, due to…
Imdadur Rahman (also known as Gino Rahman), of Troy, Michigan, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rahman engaged in unauthorized “financial transactions” with an elderly customer. Letter of Acceptance, Waiver, and Consent No. 2023080253301…
Justine Marie Cantafio (also known as Justine Marie Wachs), of Scranton, Pennsylvania, a stockbroker registered with NYLIFE Securities, has been fined $7,500.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Cantafio submitted unauthorized life insurance applications. Letter of Acceptance, Waiver, and Consent No. 2022076531801…
Kathy Ann Borkovec (also known as Kathy Ann Berry and Kathy Ann Wallenfang), of Northbrook, Illinois, a stockbroker registered with Charles Schwab Co. Inc., is the subject of a customer initiated investment related complaint filed on November 8, 2023, in which the customer requested compensatory damages based upon the alleged forgery of the customer’s signature…
Joshua R. Cook of Vernal, Utah, a stockbroker registered with LPL Financial LLC, has been fined $7,500.00 and suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Cook engaged in forgery and maintained inaccurate firm records at LPL Financial LLC. Letter of Acceptance, Waiver, and Consent…
Emily Jean Smith (also known as Emily Jean Hinton), of Vero Beach, Florida, a stockbroker registered with Raymond James Financial Services Inc., has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Smith reused customer signatures and altered customer documents. Letter of…
Christopher Steven Coffey, of Johnson City, Tennessee, a stockbroker registered with Allstate Financial Services LLC, has been discharged by the securities broker dealer on December 15, 2023, based upon allegations that Coffey submitted variable annuity withdrawal forms containing non-genuine signatures. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Coffey is referenced in three customer…
Peter Thomas Lawrence of Hauppauge, NY, a stockbroker registered with American Portfolios Financial Services Inc., is the subject of a customer initiated investment related complaint filed on January 25, 2024, in which the customer requested compensation based upon allegations that Lawrence forged signatures in connection with a variable annuity sale in 2023 when Lawrence was…
Robert Lee Golding of Alpena, Michigan, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Golding did not cooperate with a FINRA investigation into allegations of his potential forgery. Letter of Acceptance, Waiver, and Consent No. 2022076240401 (November 27, 2023)….
Scott William Norvell of Omaha, Nebraska, a stockbroker registered with Cetera Advisors LLC and LPL Financial LLC, has been fined $10,000 and suspended for 2.5 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Norvell made misrepresentations of material fact in connection with annuity exchanges . Letter of Acceptance,…
Todd R. Anderson, of Tucson, Arizona, a stockbroker registered with Benchmark Investments LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities because Anderson refused to provide documents and information during the regulator’s investigation into his potential forgery of a customer’s signature on annuity documents. Letter of Acceptance,…
Malay Kumar, of Mason, Ohio, a stockbroker registered with Cambridge Investment Research Inc., has been fined $10,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kumar made unsuitable recommendations in annuities and falsified documents when he was associated with Cambridge Investment Research Inc. Letter…
John Ginsburg of Houston, Texas, a stockbroker registered with Principal Securities Inc., has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ginsburg falsified customer documents when he was associated with Principal Securities Inc. Letter of Acceptance, Waiver, and Consent No. 2020068747501…
Benjamin Soccodato of Elmsford, New York, a stockbroker registered with MML Investors Services LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $75,000.00 in damages based upon allegations that Soccodato engaged in unsuitable trading and made misrepresentations of material fact in connection with the sale of…
Paul N. Lekousis of LaGrange Park, Illinois, a stockbroker associated with Pruco Securities LLC, has been discharged by the securities broker dealer on June 22, 2023, based upon allegations that Lekousis submitted “non-authentic” electronic customer signatures on insurance policy applications. Supposedly, he reused a customer signature page during the time that filing a form and…
Damian Mark Baird of Boston, Massachusetts, a stockbroker registered with Moors Cabot Inc., is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority in which the regulator is seeking sanctions against Baird based upon allegations that Baird failed to provide information and documents and had failed to testify in an investigation….
Somboun Thao (also known as Som Thao), of Madison, Wisconsin, a stockbroker registered with MML Investors Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Thao failed to respond to FINRA’s request for information. Letter No. 2022074049801 (February 6, 2023). On November 2, 2022, FINRA…
LPL Financial, a securities broker dealer now headquartered in Fort Mill, South Carolina, was censured and fined $3,000,000.00 by Financial Industry Regulatory Authority (FINRA) because LPL Financial failed to supervise certain representatives, resulting in their conversion of customer funds. Letter of Acceptance, Waiver, and Consent No. 2020067897601 (July 25, 2023). Between May of 2018 and…
James Floyd Garraway III (also known as Trey Garraway), of Hattiesburg, Mississippi, a stockbroker registered with Thrivent Investment Management Inc., has been fined $5,000.00 and suspended for six months by FINRA because Garraway placed false customer signatures on account documents during the time that he was associated with Thrivent Investment Management Inc. Letter of Acceptance,…
John Clifford Park, of Sioux Falls, South Dakota, a stockbroker registered with FBL Marketing Services LLC, has been barred by Securities and Exchange Commission (SEC) because Park committed forgery. In the Matter of John Clifford Park, Order No. 3-20399 (July 16, 2021). SEC noted that on January 6, 2020, South Dakota’s Insurance Division (SDID), in…
Robert C. David Jr., of Farmington Hills, Michigan, a stockbroker registered with Morgan Stanley, has been fined $15,000.00 and suspended for 20 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because David falsified customer information. Letter of Acceptance, Waiver, and Consent No. 2019062180701 (April 7, 2022). On April 2,…
Joseph Michael Todd of Panama City, Florida, formerly associated with Centaurus Financial, Inc., partially settled charges that through Todd Financial Services, defrauded at least twenty of his brokerage customers of at least $3 million, most of whom were senior citizens, retirees, or individuals with disabilities. Securities and Exchange Commission v. Joseph Michael Todd, et al.,…
Kale King Hoong Young, of Torrance, California, a stockbroker registered with LPL Financial LLC, has been fined $5,000.00 and suspended for 20 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Young falsified customer signatures. Letter of Acceptance, Waiver, and Consent No. 2020066352101 (June 8, 2023). According to the…
Kevin Dominic Klickna, of Springfield, Illinois, a stockbroker registered with Equitable Advisors LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Klickna committed forgery. Acceptance, Waiver, and Consent No. 2021071200801 (January 4, 2023). In April 2021, Equitable Advisors LLC submitted…
David Brian Test of Dallas, Texas, a stockbroker registered with Northwestern Mutual Investment Services LLC, was the subject of a customer initiated investment related complaint that was settled on December 21, 2021, for $18,221.12 in damages based upon allegations that Test made omissions of material fact in connection with the sale of municipal bonds during…
Matthew Gary Barks (also known as Matt Barks), of New York, New York, a stockbroker registered with Park Avenue Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Barks failed to testify during the time that FINRA investigated the stockbroker for possible forgery. Acceptance, Waiver,…
Patrick Keith Sloan of Kewanee, Illinois, a stockbroker registered with LPL Financial LLC, has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Sloan committed forgery, caused the securities broker dealer to maintain false records or books, and engaged in unauthorized or…
Shawn Elizabeth Parker of Schaumburg, Illinois, a stockbroker registered with Ameriprise Financial Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Parker converted $25,000.00 from Ameriprise Financial Services. Letter of Acceptance, Waiver, and Consent No. 2019064551501 (April 20, 2022). Parker hosted an event for approximately…
Roderick Len Whited of Gainesville, Florida, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Whited stole funds belonging to a pediatric cancer charity. Letter of Acceptance, Waiver, and Consent No. 2020065505201 (November 15, 2021). On January 25,…
David Brian Test of Dallas, Texas, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he falsified documents and forged customer signatures. Letter of Acceptance, Waiver, and Consent No. 2021072263801 (January 19,…
Matthew Gary Barks (also known as Matt Barks) of New York, New York, a stockbroker registered with Park Avenue Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he refused to testify in a FINRA investigation relating to the basis behind his termination from Park…
Justin Allen Anderson, of Austin, TX, a stockbroker registered with CUSO Financial Services LP, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Anderson failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. No. 2021071179201 (November 23, 2022). According to the AWC,…
Anthony Vincent Didonna, a stockbroker registered with Equitable Advisors has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Didonna failed to respond to FINRA’s request for information. Case No. 2021071227201 (Mar. 17, 2022). According to FINRA Public Disclosure, FINRA issued Didonna a Notice of Suspension on December…
Stefan Anton Pastor of Fort Lauderdale, Florida, a stockbroker registered with Raymond James Financial Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $18,000.00 in damages based upon allegations that Pastor made misrepresentations of material fact and made an unauthorized premium payment on an insurance…
Thomas Jacob Ciolek of Franklinville, New York, a stockbroker registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ciolek failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2021070741901 (November…
Mark Smith, of Greenwood Village, Colorado, a stockbroker registered with Transamerica Financial Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which settled for $40,000.00 in damages resulting from a crypto currency deal recommended by Smith when he was associated with Transamerica Financial Advisors. Financial Industry Regulatory Authority (FINRA)…
Jenna Kang (also known as Jihye Kang) of Los Angeles, California, a stockbroker registered with AXA Advisors LLC, is the subject of a customer initiated investment related complaint that was settled on December 17, 2020 to resolve allegations that Kang forged the customer’s signature and committed other sales practice violations in connection with the sale…
Steven S. Maher Sr. of Oradell, New Jersey, a stockbroker registered with Next Financial Group Inc., was the subject of a customer initiated investment related civil action that was settled for $20,000.00 in damages based upon allegations that Maher breached a contract, made misrepresentations, was negligent, and breached his fiduciary duties in connection with the …
Michael Joseph Muratore of New York, New York, a stockbroker registered with Benchmark Investments Inc., has been barred by the Maryland Securities Division following the failure to respond to an Order to Show Cause. Case No. 202100173 (May 17, 2022). This is not the first time that Muratore has been the subject of a regulatory action…
Joshua David Nicholas (also known as Josh Nicholas), of Stuart, Florida, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Nicholas converted a customer’s funds and engaged in private securities transactions. Case No. 2020067572701 (Jan. 24, 2022)….
Kyle Zachary Wittgren, of Frisco, Texas, a stockbroker registered with NYLife Securities LLC has been denied securities licensure in Minnesota based upon allegations that Wittgren made misrepresentations and forged a customer’s signature. Case No. 8453GA6M (Jan. 28, 2022). This is not the first time that Wittgren has been the subject of a regulatory action concerning…
Michael Francis Shillin of Altoona, Wisconsin, a stockbroker formerly registered with AGP (Alliance Global Partners), has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment advisor and barred from associating with those institutions, according to an SEC Order containing findings of Shillin misrepresenting information to investors and misleading them…
James Royal Kirchner of Chicago, Illinois, a stockbroker formerly registered with David A. Noyes Company, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Kirchner falsifying documents concerning a customer’s purchase of a private placement while Kirchner was employed by David…
Philip Anthony Riposo of Cave Creek, Arizona, a stockbroker formerly registered with United Planners’ Financial Services of America, 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 a FINRA investigation concerning allegations of his creation of fake account statements…
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…
Michael Joseph Muratore of Ardsley New York, a stockbroker formerly registered with JP Morgan Securities, has been fined $25,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Muratore’s forgery of annuities documents during the time that he was registered with JP…
Brian Orlando Blanco of Bloomington, Illinois, a stockbroker formerly registered with State Farm VP Management Corp., 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 he forged his customers’ signatures on applications when associated with State Farm VP…
Howell Gregory Ferguson (also known as Gregg Ferguson), of Bellville, Texas, a stockbroker formerly registered with LPL Financial LLC, has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of forgery and false statements to the regulator by Ferguson during…
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…
Jimmy William Nunez, Jr. of Edgewater, New Jersey, a stockbroker formerly registered with Allstate Financial Services LLC, has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Nunez forged a customer’s signature and falsified responses to FINRA when under…
Robert Emmett Pitiger, of Norwich, Vermont, a stockbroker formerly registered with LPL Financial 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 supported by findings of Pitiger altering documents and reusing customer signatures while Pitiger was employed by LPL Financial. Letter…
Mark Smith, of Greenwood Village, Colorado, a stockbroker formerly registered with Transamerica Financial Advisors Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Smith failed to cooperate in a FINRA investigation regarding allegations of his unauthorized transactions in customer accounts when he was…
Kyle Zachary Wittgren, of Frisco, Texas, a stockbroker formerly registered with NYLife Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Wittgren refused to testify in an investigation relating to allegations of him signing customer names on variable annuity applications without authorization…
Igor Peter Kislitsa, of Citrus Heights, California, a stockbroker formerly registered with PFS Investments Inc., has been charged by Financial Industry Regulatory Authority (FINRA) with failing to cooperate with requests during the regulator’s investigation into allegations of Kislitsa’s unauthorized transactions, including completing customers’ applications without customers being present when Kislitsa was employed by PFS Investments….
Michael John Giovannelli (also known as Michael Anthony Giovannelli), of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Giovannelli engaged in unauthorized trading and had falsified documents…
Andrew Timothy Durham of Greenwood, South Carolina, a stockbroker formerly registered with Allstate Financial Services, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that Durham forged an Allstate Financial Services customers’ signature on a life insurance application. Letter of Acceptance Waiver…
Jeffrey Dale Cleckner of Indianapolis, Indiana, a stockbroker formerly registered with Waddell Reed, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $125,000.00 in damages based upon accusations of the unauthorized withdrawal of funds in a retirement account during the time that he was registered with Waddell Reed….
Eilesia Kepper Dixon (also known as Eilesia McGivney Dixon, Lisa Dixon, and as Lisa L. Keeper) of Monroe Louisiana a stockbroker and investment adviser representative of LPL Financial LLC had been discharged from employment on November 3, 2020. According to LPL Financial, Dixon placed customers’ signatures on account transfer and account opening paperwork. The customers…
Ronald Leonard Whittingham (also known as Ron Whittingham) of Orland Park Illinois a stockbroker formerly registered with LPL Financial 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 supported by findings that false information had been placed on documents by Whittingham…
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…
Daria Lynn Radonski (also known as Daria Lynn Baumgarten, Daria Thayer and as Daria Murdock) of Billings Montana 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 upon findings that she failed to cooperate with a FINRA investigation…
Christopher Joseph Nelson of Brandon South Dakota a stockbroker formerly registered with Wynston Hill Capital 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 supported by findings that Nelson falsified the records of Wynston Hill concerning trades in customer accounts. Letter…
Adam Gerard Belardino of Elmsford New York a stockbroker formerly registered with MML investors Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on a Decision containing findings that Belardino refused to cooperate with a FINRA investigation in regard to customer complaints. Department of Enforcement…
Joffre Salazar (also known as Jeff Salazar) of Staten Island New York a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Salazar forged signatures of customers on documents to effect…
Alexis Kinashea Cooke of Lake Success New York a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Cooke engaged in forgery and the falsification of applications relating to variable annuity products, and she failed to provide…
Alon Zak of Sherman Oaks California a stockbroker formerly registered with Pruco Securities has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with forging customer signatures and submitting insurance documents to Pruco’s insurance affiliate without customers’ authorization. Department of Enforcement v. Alon Zak Disciplinary Proceeding No. 2020065349803 (Aug. 19, 2021). According to…
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….
Casey James Kemerly of Pennington Gap Virginia a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA when it investigated his termination from Edward Jones and his criminal charges from August of…
Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly registered with BBVA Securities Inc. is referenced in an Arizona Corporation Commission Securities Division Order For Administrative Penalties and Order of Revocation where his stockbroker registration has been revoked based on Ortega being barred by a securities regulator. In the Matter of Adrian Torres…
Juan Manuel Ceja of Medford Oregon 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 he failed to comply with FINRA’s investigation into his potential falsification of customer signatures. Letter of Acceptance Waiver and Consent No….
Eric Peter Burton of Orland Park Illinois a stockbroker formerly registered with LPL Financial 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 supported by findings of Burton falsifying customers’ documents relating to variable annuity transactions that he effected. Letter of…
Rhett Douglas Bedwell of Rogers Arizona a stockbroker formerly registered with LPL Financial LLC 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 when he was being investigated for using forged documentation to transition a customer’s assets…
Ryan Owen Tarjanyi of Kettering Ohio a stockbroker formerly registered with Bankers Life Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not provide information to FINRA during the period that he was investigated for forgery and for falsifying documents relating…
Shlomo Strugano (also known as Shlomy Strugano and as Solomon Strugano) of Reseda California 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 $750,000.00 in damages supported by accusations of elder abuse and misappropriation. Financial Industry Regulatory Authority (FINRA)…
Kevin Charles Fretz of South Windsor Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages founded on accusations of unsuitable real estate investment trust recommendations by Fretz during the time that he was associated with…
Dean Harrison Grant of Milledgeville Georgia a stockbroker formerly registered with M Holdings Securities Inc. is the subject of a customer initiated investment related written complaint on August 12, 2019 where the customer requested compensatory damages founded on accusations that the customer had not been apprised of important investment information from Grant when making an…
George Marshall Warner of Staten Island New York a stockbroker formerly registered with Chelsea Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages founded on allegations that promissory notes were sold by Warner away from the securities broker dealer. Financial Industry Regulatory…
James Vincent Prosperi of Pittsford New York a stockbroker currently registered with Pruco Securities is referenced in a customer initiated investment related written complaint on September 29, 2020 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents to effect insurance transactions during the time…
Charles Jonathan Evan of Wellesley Massachusetts a stockbroker formerly registered with New England Securities and MML Investors Services is the subject of a customer initiated investment related written complaint on September 4, 2020 in which the customer requested unspecified damages supported by allegations that the customer had been provided with misrepresented information in regards to…
Thomas James Barone of New Orleans Louisiana a stockbroker formerly registered with NYLife Securities 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 Barone forged customers’ signatures on life insurance policy documents. Letter of Acceptance Waiver and…
Clara Chen Tang (also known as Qing Chen) of Cupertino California a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on March 20, 2019 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents…
Ryan Owen Tarjanyi of Greensburg Pennsylvania a stockbroker formerly employed by Bankers Life Securities is under investigation according to Financial Industry Regulatory Authority (FINRA). Case No. 20190619433 (Sept. 24, 2020). FINRA Public Disclosure reveals that Department of Enforcement might proceed with a disciplinary action against Tarjanyi supported by accusations of the stockbroker violating FINRA rules….
Jenna Kang (also known as Jihye Kang) of Los Angeles California a stockbroker formerly employed by AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she neglected to provide documents and information to the regulator while under investigation for falsifying customer…
James Kenneth Couture of Worcester Massachusetts a stockbroker formerly registered with LPL Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Couture failed to cooperate with FINRA investigators. Letter of Acceptance Waiver and Consent No. 2020067011901 (Oct. 21, 2020). According to the AWC,…
Neil James Buono of Woodstock Georgia 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 findings that Buono refused to cooperate with FINRA staff who was investigating allegations of his forgery and violations of FINRA rules. Letter of…
Christopher Thomas Hildebrandt of Cape May Court House New Jersey a stockbroker formerly employed by Principal Securities 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 Hildebrandt altered documents to effect distributions and other transactions in customer accounts. Letter of Acceptance…
Luke Charles Nelson of Fosston Minnesota a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Nelson had altered customer account documentation. Letter of Acceptance Waiver and Consent No. 2019061507001…
Jonathan Richard Lake (also known as Jon Lake) of Stamford Connecticut a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been discharged on December 2, 2019 based upon accusations that the stockbroker procured funds from a customer in violation of company policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Lake has…
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…
Charles Matthew Wernig III (also known as Chip Wernig) a stockbroker formerly registered with Kestra Investment Services LLC has been barred on August 5, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Wernig neglected to provide a response to FINRA after a request for his…
Robert Patton Stansberry (also known as Patt Stansberry) of Columbia Montana a stockbroker and financial advisor formerly registered with Wells Fargo Advisors Financial Network LLC and Cutter Company 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 based upon findings that…
Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly employed by JP Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on a FINRA Office of Hearing Officers Order Accepting Offer of Settlement based on findings that Mak failed to cooperate with FINRA’s…
Cynthia Ann Perry of Salisbury Maryland a stockbroker formerly associated with Merrill Lynch has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she altered signed Merrill Lynch customer documents to create accounts and effect transactions. Letter of Acceptance…
Timothy A. Crowley of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to provide FINRA with information that had been requested of him. Case No. 2018059605401 (Apr. 16, 2020). FINRA…
James Michael Adgar of Alameda California a stockbroker formerly associated with LPL Financial LLC has been discharged by the firm on August 28, 2019 supported by allegations that Adgar neglected to abide by the policies of the securities broker dealer as it pertained to the insertion of customer signatures on incomplete documentation to effect transactions….
Dean Elmo Mings of Springfield Ohio a stockbroker formerly registered with Tavenner Company is the subject of a customer initiated investment related arbitration claim where the customer sought $600,000.00 in damages based upon accusations that unsuitable annuities and stocks were recommended to the customer by Mings. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-02807 (Sept….
Joffre Salazar (also known as Jeff Salazar) a stockbroker formerly employed by American Portfolios Financial Services Inc. has been discharged from employment on September 27, 2019 founded on accusations of customer documentation being impermissibly altered by Salazar. Salazar has been identified in two customer initiated investment related disputes pertaining to allegations of his misconduct. Financial…
David Harry-Nelson Austin of Grand Rapids Michigan a stockbroker formerly registered with JP Morgan Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds belonging to three customers of JP Morgan. Letter of Acceptance Waiver and Consent No. 2020066576401…
Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly registered with J.P. Morgan Securities LLC has been charged in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement who alleges that Mak failed to cooperate with FINRA’s information and documentation requests during the time that she was under investigation for allegedly violating…
Xiangyu Yu Zhang (also known as Sean Zhang) of Alhambra California a stockbroker formerly registered with Cetera Investment Services is the subject of a customer initiated investment related complaint which was settled on December 2, 2019 for $4,479.01 in damages based upon allegations that misrepresentations were made to the customer concerning real estate investment trusts…
Clare Marie Cail (also known as Clare Marie McGovern) of Manchester New Hampshire a stockbroker formerly registered with Morgan Stanley has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she altered customer account documentation. Letter of Acceptance Waiver…
Timothy Brent Hetrick of Boise Idaho a stockbroker formerly registered with US Brokerage Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that the stockbroker failed to cooperate with FINRA personnel during the period that he was under investigation for forging customers’…
Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) of Fort Myers Florida a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she forged customers’ signatures to effect fund…
William James Hite of Stratford Connecticut a stockbroker formerly registered with NYLife Securities has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s signature to effect an annuity exchange. Letter of Acceptance Waiver…
Ashley K. Martin (also known as Ashley Heather Krueger) of Leawood Kansas a stockbroker formerly registered with Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she neglected to furnish documents and information to the regulator when she was under…
Michael John Isaac of Charlotte North Carolina a stockbroker currently registered with Innovation Partners LLC has been sanctioned by Massachusetts Securities Division based upon the stockbroker violating FINRA rules by using signed but otherwise blank or incomplete forms which falsely portrayed that documentation was reviewed by customers and that they approved of Issac’s transactions for…
Ryan Owen Tarjanyi of Kettering Ohio a stockbroker formerly employed by Bankers Life Securities Inc. has been identified in a customer initiated investment related complaint which has been resolved on September 13, 2019 for $32,500.00 in damages founded on accusations that (1) the customer’s funds were misappropriated and (2) the customer’s signature had been forged…
Christopher Richard Barone of Cleveland Ohio the former president and Chief Compliance Officer of America Northcoast Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he doctored documents which he provided to FINRA personnel in regard to his supervision of…
Thomas H. Laws of Silver City New Mexico a stockbroker formerly associated with HD Vest Investment Services and Santa Fe Gold Corporation has been barred by Securities and Exchange Commission (SEC) from associating with any securities broker dealer or investment adviser founded on accusations against the stockbroker of misappropriation and forgery. In the Matter of…
John A. Chrysadakisof Norwalk Connecticut a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he neglected to cooperate with FINRA while he was investigated for engaging in fraudulent conduct. Letter of Acceptance…
Leonard Charles Kinsman of Staten Island New York a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC is referenced in a customer initiated investment related arbitration claim where the customer requested at least $591,866.69 in damages founded on accusations that (1) customer account documentation contained unauthorized alterations or forged customer signatures (2) investment…
Shlomo Strugano (also known as Shlomy Strugano) of Reseda California a stockbroker formerly registered with First Allied Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he declined to testify in a FINRA investigation concerning allegations of forgery. Letter of…
Meaghan Marie Johnson of Mc Lean Virginia a stockbroker formerly registered with Northwestern Mutual Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Johnson failed to cooperate in a FINRA investigation into accusations of her involvement in forging documents relating to customer…
David Cohen Drees of Sandy Utah a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Drees neglected to cooperate with a FINRA inquiry that had been made after Drees was terminated from Ameriprise. Case No….
Gerald Allan Eaton of Action Massachusetts a stockbroker formerly employed by Commonwealth Financial Network has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Eaton obstructed a FINRA investigation into allegations of his “unauthorized distributions” from accounts owned by customers of Commonwealth Financial Network. Letter…
William Herman Dixon of Charlotte North Carolina a stockbroker registered with Securities America Inc. has been discharged on September 16, 2019 supported by allegations of Dixon causing customer signatures to be forged on documents to effect transactions for customer accounts in violation of the procedures or policies enforced by the securities broker dealer. Financial Industry…
Maureen Ann Scalzo (also known as Maureen Ann Hunt) of Danbury Connecticut a stockbroker formerly registered with Benjamin F. Edwards Company Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Scalzo refused to make an appearance and provide recorded testimony before FINRA personnel…
Mark Andrew Cramer of LaRue Ohio a stockbroker currently registered with MML Investors Services LLC (formerly known as MSI Financial Services LLC) has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of customer’s signatures having been forged by Cramer…
Brian Daniel Parker of Covington Louisiana a stockbroker formerly registered with USA Financial Securities Corporation has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Parker caused USA Financial Securities Corporation customer account documentation to be falsified…
Christina Sabengsy (also known as Christina Ioana Colwell) of Deerfield Iowa a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that the signatures of NYLife Securities LLC customers had been forged by her on documentation to effect…
Vitthal Mathurbmas Patel of Denville New Jersey a stockbroker formerly registered with PFS Investments 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 based upon consenting to findings that Patel forged customer account documents. Letter of Acceptance Waiver and Consent No….
Michael Lee Child of Draper Utah a stockbroker registered with H. Beck Inc. is the subject of a customer initiated investment related complaint on April 24, 2018 in which the customer requested $20,000.00 in damages founded on accusations that Child advised the customer to purchase investments which failed to be appropriate for the customer. Financial…
Lisa Acca of Bay Ridge New York a stockbroker registered with Arive Capital Markets has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Acca failed to submit documentation to FINRA and provide testimony in the course of a FINRA investigation into allegations of her…
Michael Patrick Spolar of Orlando Florida a stockbroker formerly registered with International Assets Advisory LLC has been suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that (1) Spolar effected trades in the investment accounts of International Assets Advisory customers without authorization from either…
Timothy Francis Dufresne of Bamberg South Carolina a stockbroker formerly employed by SagePoint Financial Inc. is referenced in a customer initiated investment related civil action brought in the Bamberg County South Carolina Court of Common Pleas in which the customer sought unspecified damages based upon accusations of the embezzlement of the customer’s funds by Dufresne…
Claus Christoph Foerster of Greenville South Carolina a stockbroker formerly registered with Raymond James Associates Inc. is referenced in a customer initiated investment related written complaint which was settled for $27,500.00 on May 18, 2017 supported by accusations that (1) the customer’s signature had been forged on documentation to effect investment transactions and (2) the…
Michael Anthony Bastardi of Warwick New York a stockbroker formerly employed by Securities America Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Bastardi failed to cooperate with a FINRA investigation into allegations that Bastardi hindered a FINRA investigation concerning accusations that (1)…
Thomas Leroy Studer of The Villages Florida a stockbroker formerly employed by Thrivent Investment Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Studer failed to cooperate with a FINRA investigation into allegations that Studer violated the firm’s policies and caused unauthorized…
Gerald James O’Halloran of Punta Gorda Florida a stockbroker formerly employed by Kovack Securities Inc. has been fined and ordered to cease and desist from engaging in violations of Florida Statutes according to an Order issued by Florida Office of Financial Regulations containing findings that (1) O’Halloran failed to inform his securities broker dealer about…
Frederick David Holloway of Easton Maryland a stockbroker formerly employed by Holloway Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Amended Hearing Panel Decision containing findings that (1) Holloway made bad annuity recommendations to customers of the firm and (2) Holloway omitted…
Denise Marie Bucci of Conshohocken Pennsylvania a stockbroker formerly employed by Raymond James Financial Services Inc. has been fined $7,500.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Bucci falsified and forged customer signatures on documents used to effect investment transactions…
Joseph Peter Gulbin Jr. of Shelton Connecticut a stockbroker formerly employed by Pruco Securities LLC has been discharged by the firm on November 9, 2018 founded on accusations that (1) Gulbin participated in outside business activities which had not been disclosed to Pruco Securities or approved by the firm and (2) Gulbin furnished insurance policy…
Robert L. Bryant III of Lincoln Nebraska a stockbroker formerly registered with Allstate Financial Services 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 Bryant forged customer account documents and caused Allstate Financial Services to hold false…
Eric John Zebrauskas of Carmel Indiana a stockbroker formerly employed by Summit Brokerage Services Inc. has been discharged on October 3, 2018 supported by accusations of Zebrauskas causing a customer to furnish signed but blank documents to effect investment transactions. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that this is not the first time…
Anthony Kevin Swart (also known as Tony Swart) of Longboat Key Florida a stockbroker formerly employed by SunTrust Investment Services Inc. is the subject of an Order issued by The State of Michigan Department of Licensing and Regulatory Affairs which directed Swart to withdrawal his securities agent registration in the State of Michigan based upon…
Leon William Vaccarelli of Waterbury Connecticut a stockbroker formerly registered with The Investment Center has been indicted for wire fraud and mail fraud based on allegations that he engaged in a scheme which victimized elderly customers. United States v. Leon Vaccarelli No. 18-cr-g2-SRU (D. Conn May 2, 2018). On May 29, 2019, the Securities and…
Accelerated Capital Group a brokerage firm headquartered in California has been censured and fined $400,000.00 by Financial Industry Regulatory Authority (FINRA) founded on accusations that the firm’s brokers: (1) executed unauthorized trades in customer accounts (2) sold customers investments that were not suitable for them and (3) executed trades in customer accounts on an excessive…
Bradley Scott Cooperman of San Diego California a stockbroker currently registered with J.P. Morgan Securities LLC is referenced in a customer initiated investment related written complaint on July 14, 2016 in which the customer sought $11,060.56 in damages based upon accusations that (1) unauthorized trades were executed in the customer’s managed investment account (2) misrepresentations…
Diane Marie Knight of Chico California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint on January 26, 2017 where the customer sought $50,000.00 in damages supported by accusations that while Knight was associated with LPL Financial LLC unauthorized parties signed documents to effect real estate…
Michael Joseph Dorsey of Honolulu Hawaii a stockbroker currently registered with Stifel Nicolaus Company Incorporated is the subject of a customer initiated investment related arbitration claim which was settled for $50,000.00 in damages founded on accusations of (1) violation of New York Stock Exchange (NYSE) and FINRA Rules (2) violation of federal and state securities…
Thomas John Leone of Farmington Connecticut a stockbroker formerly registered with MML Investors Services is referenced in a customer initiated investment related written complaint which was settled on May 10, 2018 to resolve accusations that (1) the customer’s assets had been inappropriately transferred a number of times between annuities and mutual funds and (2) the…
Peter Orlando of Warwick Rhode Island a stockbroker formerly registered with MetLife Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Hearing Panel Decision containing findings that (1) Orlando made unsuitable investment recommendations to an elderly customer and…
Paul P. Ruane of New York New York a stockbroker formerly employed by Deutsche Bank Securities Inc. is referenced in a customer initiated investment related written complaint on June 19, 2015 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that Ruane executed transactions in a customer’s account with knowledge that the…
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that registered representatives of Edward Jones including Bruce Stanley Jakiel, Derek Strubel, John Burton Enoch Cestia II, Leslie Greenman and Tahnee Allman have been terminated by the firm founded on Edward Jones’ allegations of their violative conduct while they were employed by the firm. Bruce Stanley Jakiel…
Bruce Anthony Zaro of Plymouth Massachusetts a stockbroker formerly employed by Bolton Global Capital has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Zaro signed customers’ names on account documentation without authorization to effect transactions in…
Barry Walter Wold of Edina Minnesota a stockbroker formerly registered with Raymond James Associates Inc. has been discharged by the firm on January 5, 2018 founded on accusations that (1) Wold did not abide by the firm’s policy concerning the switching of customers’ commission-based account to fee-based accounts (2) Wold potentially falsified information about his…
Gary Clifford Smith of Southern Pines North Carolina a stockbroker formerly employed by H. Beck Inc. has been discharged by the firm on September 8, 2016 founded on accusations that Smith altered customer account documentation in violation of H. Beck policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Smith has been identified in…
Adriane L Cagle of Peachtree City Georgia a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Inc. has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Cagle altered customer account documents without authorization. Letter of…
Mark Isidore Lamendola of Cranberry Township Pennsylvania a stockbroker formerly registered with World Capital Brokerage Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Lamendola made misrepresentations to a customer and falsified documents pertaining to a customer’s annuity purchase and…
Donald Logan of Silverdale Washington a stockbroker formerly employed by Edward Jones has been fined $25,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based in part upon consenting to findings that Logan effected unauthorized trades in customer accounts and caused customers to sign incomplete…
Daniel Todd Levine of Greenwood Village Colorado a stockbroker formerly employed by Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Levine failed to cooperate with FINRA’s investigation into accusations that (1) Levine engaged in unauthorized trading of customer accounts…
Ahmet Kildis of Hudson Florida a stockbroker formerly registered with SunTrust Investment Services Inc. has been discharged by the firm on March 13, 2018 based upon accusations that Kildis modified a customer’s signed documentation in violation of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Kildis has been identified in two…
Michael Patrick Nanto of Del Mar California a stockbroker formerly employed by J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Nanto failed to comply with FINRA during an inquiry into Nanto’s activities. Case No. 2017054342001 (May 24, 2018). According…
Douglas Anthony Rabess of New Windsor Connecticut a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Rabess failed to comply with FINRA’s inquiries about his activities. Case No. 2016050595002 (Sept. 5, 2017). According to FINRA Public…
Nicola Ottavio Caporaso of Melville New York a stockbroker formerly registered with MML Investors is referenced in a customer initiated investment related written complaint which was resolved for $20,000.00 on January 26, 2018 supported by allegations that (1) Caporaso inappropriately advised customers to surrender their annuity investments and use the proceeds for managed account investments…
Marie P. Goforth of San Antonio Texas a stockbroker formerly employed by LPL Financial LLC has been suspended by the Texas State Securities Commissioner from engaging in securities business in the State of Texas according to findings that Goforth maintained blank forms signed by customers and reused customer signatures to effect securities transactions. Acceptance Waiver…
Matthew Stanley Sinclair of Elmsford New York a stockbroker currently registered with MML Investors Services LLC has been fined by State of New York Department of Financial Services supported by accusations that Sinclair gave a customer life insurance documentation containing false information. Case No. 2017-0056-S (May 19, 2017). Financial Industry Regulatory Authority (FINRA) Public Disclosure…
Donald Marshall Cox a stockbroker currently employed by Raymond James Associates Inc. is referenced in a customer initiated investment related civil action in which the customer sought $2,000,000.00 in damages based upon allegations that between April of 2011 and November of 2015: (1) the customer’s funds were converted (2) the customer’s signature had been forged…
Elizabeth Ann Thompson of Gloucester Massachusetts a stockbroker formerly employed by Citizens Securities Inc. has been discharged on September 24, 2018 founded on accusations that Thompson maintained signed blank forms from customers to effect securities transactions. This is not the first time that Thompson has been terminated from a FINRA member brokerage firm based upon…
William Andrew Doran of Johnston South Carolina a stockbroker currently registered with NYLife Securities LLC is referenced in a customer initiated investment related written complaint which settled for $15,916.72 on June 29, 2017 based upon allegations that Doran forged the customers’ signatures on variable annuity and insurance documents to effect multiple policy purchases between June…
Vitthal Mathurbmas Patel of Denville New Jersey a stockbroker formerly employed by PFS Investments Inc. has been discharged by the firm on August 27, 2018 founded on accusations that Patel forged a customer’s signature to an account document. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on December 17, 2002, a customer filed an…
David Warg Best of Bethlehem Pennsylvania a stockbroker formerly employed by Oppenheimer & Co. Inc. is referenced in a customer initiated investment related complaint on August 18, 2017 where the customer sought $1,000,000.00 in damages supported by accusations that (1) unsuitable closed-end fund and stock transactions had been executed in the customer’s investment account (2)…
Steven John Sosnowski of Bloomington Illinois a former State Farm VP Management Corp. registered representative has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s signature on a life insurance policy. Letter of…
Janice Ann Williams-Mayhew of Okemos Michigan a stockbroker formerly employed by WFG Investments Inc. has been discharged by the firm on March 22, 2017 supported by allegations that Williams-Mayhew placed an investor’s signature on a Representative Change Request form in regards to an annuity contract despite that investor not having been a customer of WFG…
Janie Garza-Clark of Scottsdale Arizona a stockbroker formerly employed by Hornor Townsend Kent Inc. has been discharged by the firm on December 1, 2015 founded on allegations that Garza-Clark violated the firm’s polices. Hornor Townsend Kent Inc. accused Garza-Clark of failing to conform to the firm’s policies concerning the handling of customer account applications; handling…
Kyle Michael Marburger of Carmel Indiana a stockbroker formerly employed by Valic Financial Advisors Inc. has been discharged by the firm on December 27, 2016 founded on allegations that Marburger forged a customer’s signature on annuity documentation to establish an annuity contract. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that approximately one month before…
Mark Andrew Cramer of LaRue Ohio a stockbroker formerly registered with MSI Financial Services Inc. is the subject of a customer initiated investment related written complaint which was resolved for $456,990.00 on June 11, 2018 founded on allegations that (1) Cramer provided documentation containing forged customer signatures to an insurance company so that he could…
Michael Paul Lessard Jr. of Rock Hill South Carolina a stockbroker formerly employed by Dempsey Lord Smith LLC and representative of Palmetto Premier Advisors has been terminated from those firms between May 9, 2018 and July 3, 2018 founded on accusations that Lessard “borrowed funds” belonging to a customer in violation of the firm’s policy. This…
Stuart Myles Godin of Century City California a stockbroker formerly employed by RBC Capital Markets LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $20,000.00 in damages founded on allegations that between November of 2012 and March of 2016, Godin made unsuitable recommendations to the customer concerning futures and…
Arturo Alejandro Nunez of Miami Lakes Florida a stockbroker registered with PFS Investments Inc. has been discharged on October 20, 2017 founded on accusations of the ceasing of all contractual arrangements between Nunez and the firm and its affiliates. The firm contended that Nunez had unresolvable issues related to his sales practices. Nunez has previously…
Mona Kay Milligan (also known as Mona Kay Darst) of Litchfield Park Arizona a stockbroker formerly registered with J.P. Morgan Securities LLC has been discharged by the firm on December 12, 2017 for engaging in “unauthorized activities” based upon allegations that Milligan procured signed but otherwise blank customer account documents for purposes of effecting investment…
Mark Perlman of Stratford Connecticut a former registered representative of NYLife Securities LLC has been terminated by the firm on November 21, 2017 based upon accusations that he committed a violation of NYLife’s policy by “failing to acquire authentic signatures of customers” on traditional life insurance policy documentation. Financial Industry Regulatory Authority (FINRA) Public Disclosure…
Matthew Alan Morris of Hopewell Virginia a stockbroker formerly employed by SunTrust Investment Services Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged signatures on account documentation. Letter of Acceptance Waiver and Consent…
Clifford William Shirah of Blue Ridge Georgia a stockbroker formerly registered with ProEquities Inc. is the subject of a State of Michigan Department of Licensing and Regulatory Affairs Securities Bureau Order which denied Shirah’s securities agent registration in Michigan based upon findings that Shirah engaged in unethical or dishonest conduct involving customers. In the Matter…
Bruce Anthony Zaro of Plymouth Massachusetts a stockbroker formerly employed by Bolton Global Capital has been terminated on January 30, 2018 founded on allegations that Zaro furnished customer account documents to the firm that the customer’s beneficiaries apparently never signed. FINRA Public Disclosure additionally reveals that on May 24, 2000, a customer initiated investment related…
Ryan Owen Tarjanyi of Kettering Ohio a stockbroker employed by Bankers Life Securities Inc. has been discharged by the firm on March 30, 2018 based upon allegations that Tarjanyi failed to be forthcoming in an investigation into his activities. FINRA Public Disclosure additionally reveals that on February 20, 2018, a customer initiated investment related complaint…
Donnell Noah Bowen of Washington District of Columbia a former Northwestern Mutual Investment Services LLC registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to testify before FINRA personnel and provide documentation relating to an investigation into accusations…
Michael Scott Christians of Plano Texas a stockbroker formerly employed by Morgan Stanley Smith Barney LLC is the subject of a Financial Industry Regulatory Authority (FINRA) investigation into allegations that Christians forged a customer’s signature on account documentation. FINRA Public Disclosure confirms that Christians has been discharged by Morgan Stanley on January 3, 2018 based…
John Francis Wilson of Hingham Massachusetts a stockbroker formerly registered with Charles Schwab Co. Inc. has been permanently barred in all capacities by the Securities Division of the Commonwealth of Massachusetts based upon Wilson’s consent to findings that he forged a customer’s signature on an annuity application in violation of Sections 101 and 204(a)(2)(G) of…
Emil John Skyba of Westport Connecticut a stockbroker formerly registered with Westport Capital Markets LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into accusations that he altered customer account documents. Letter of Acceptance Waiver and…
Ricky Mills Higgins of Spartanburg South Carolina a stockbroker formerly employed by ProEquities Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he utilized signed but otherwise blank forms to effect mutual fund transactions in…
Stacy Elizabeth Cheney-Jamison of Boca Raton Florida a stockbroker formerly registered with CUNA Brokerage Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to provide documentation and information to FINRA in an investigation into allegations of Cheney-Jamison selling…
Craig Eugene Walker of Ridgeland Mississippi a registered representative of NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he signed a customer’s name on an annuity application without the customer’s authorization to effect the purchase of an annuity….
Gina Marie Bert-Zatto of Plainville Connecticut a stockbroker formerly registered with Santander Securities LLC is the subject of a customer initiated investment related written complaint which was resolved for $16,033.75 in damages on December 29, 2016 founded on accusations of forgery of customer account documentation and losses relating to the customer’s market linked certificate of…
Florence Marie Simeon of New York New York a stockbroker formerly registered with Alexander Capital L.P. has been terminated on April 27, 2016 based upon allegations that Simeon falsified documents while associated with the firm. Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that a customer initiated investment related arbitration claim regarding Simeon’s conduct…
Meaghan Marie Johnson of McLean Virginia is a former Northwestern Mutual Investment Services LLC registered representative who is the subject of a customer initiated investment related written complaint on November 28, 2017 in which the customer requested $46,808.90 in damages founded on allegations that Johnson forged the customer’s signatures on life insurance policy documentation and…
Steven Michael Wisniewski of Phoenixville Pennsylvania is a stockbroker formerly registered with Cambridge Investment Research, Inc. whose securities registration has been revoked by Financial Industry Regulatory Authority (FINRA) supported by allegations that Wisniewski failed to pay a fine to FINRA in connection with a disciplinary action in which he was found to have committed conduct…
Donnell Noah Bowen of Washington DC is a stockbroker formerly registered with Northwestern Mutual Investment Services who has been terminated from employment on January 13 2017 based upon allegations that Bowen left the firm during a time that it investigated him for forging a customer’s signature on account documentation. Financial Industry Regulatory Authority (FINRA) Public…
Sean Aaron Brady of Saint Louis Missouri is a stockbroker formerly registered with First Allied Securities Inc. who has been fired on October 20 2017 supported by allegations that Brady violated the firm’s policies relating to the falsification of signatures on customer account documentation and improper use of consolidated account statements. Financial Industry Regulatory Authority…
Marilyn Ashley Rios of Portsmouth New Hampshire is a stockbroker formerly registered with LPL Financial LLC who was fired on November 15 2016 supported by allegations that she violated LPL Financial LLC’s policy in reference to customer account signatures. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on September 26, 2017, a customer initiated…
Kwimin Ahn of New York, New York, a stockbroker formerly registered with Pruco Securities, LLC, has been terminated from employment on May 25, 2017, based upon accusations that he violated the firm’s policies by reusing customer signatures on an annuity application and transfer documents in order to effect transactions. Financial Industry Regulatory Authority (FINRA) Public Disclosure…
Judie Marie Borden of Kalamazoo, Michigan, a stockbroker registered with Northwestern Mutual Investment Services, LLC, was terminated on September 7, 2017, based upon a customer’s allegations that Borden inappropriately placed the customer’s signature on account distribution documents. Particularly, Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on August 28, 2017, a customer filed an investment…
Tommy Huy Mai, of Westminster, California, a stockbroker formerly registered with Questar Capital Corporation, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged customer signatures on account documentation and communicated misleading information about securities…
Benjamin J. Herauf, of Dickinson, North Dakota, a stockbroker registered with Edward Jones, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s account documentation. Letter of Acceptance, Waiver and Consent, No. 2016052114701…
Brian Joseph Panfil of New Woodstock, New York, a stockbroker formerly registered with Ridgeway & Conger, Inc., has been charged by Financial Industry Regulatory Authority Department of Enforcement in a Complaint alleging that he effected unsuitable trades in customer accounts, forged signatures of customers on account documentation, and placed trades without authorization. Department of Enforcement…
Paul Anthony Steffany, of Westport, Connecticut, a stockbroker formerly registered with Raymond James & Associates, Inc., is the subject of an Order Issued by the Banking Commissioner of the State of Connecticut which permanently barred him from engaging in business as an investment advisor, broker-dealer, investment adviser agent, or broker-dealer agent. In the Matter of…
William H. Paterson, of Palm Beach Gardens, Florida, a former GWN Securities, Inc. registered representative, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations as alleged within a customer initiated…
Joseph William Petry, of Latham, New York, a stockbroker formerly registered with HBW Securities LLC, was fired on March 10, 2016, founded upon accusations that he furnished customer trading documentation to his firm that contained forged signatures. The firm alleged that Petry caused customers to hand him signed yet blank documents so that Petry would…
William F. Garbarino, of Danbury, Connecticut, a stockbroker formerly registered with Lincoln Financial Advisors Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Garbarino’s consent to findings that he provided FINRA with false testimony concerning incomplete and unauthentic customer account documentation. Letter of Acceptance, Waiver…
Peter Michael Riley, of Plano, Texas, a stockbroker formerly registered with Morgan Stanley Smith Barney, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he neglected to respond to FINRA’s request for information concerning his business activities. Case No. 2016051087301 (Jan. 9,…
Paul William Marks, of Angola, New York, a stockbroker formerly registered with Thrivent Investment Management Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he forged customer account documents, failed to execute customer instructions and made misrepresentations to his firm…
Francisco Jose Faraco, of New York, New York, a stockbroker formerly registered with Morgan Stanley, was fired from employment on February 1, 2017, based upon allegations of his misconduct relating to customer account documentation that contained unauthorized alterations and signatures. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on September 8, 2016, a customer…
William H. Merriam, IV, of Jacksonville, Florida, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in an investigation into his alleged forgery. Letter…
Melanie Dawn Garcia, of Winter Haven, Florida, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related written complaint, which settled on August 10, 2016, for $3,115.92 in damages based upon allegations that made misrepresentations to the customer, effected unsuitable private securities transactions, and was liable for the…
Sandra Jayne McCabe, of Melville, New York, a stockbroker formerly registered with Wells Fargo Advisors, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she effected unauthorized transactions involving the recycling of customers signatures on documents. Letter of Acceptance,…
James M. Hurty, of Rocky Hill, Connecticut, a stockbroker formerly registered with Citizens Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Hurty obstructed a FINRA investigation into allegations that he forged customer account documentation. Letter of Acceptance, Waiver and…
Thomas A. Vigil, of Westboro, Massachusetts, a stockbroker formerly registered with MetLife Securities, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he falsified customer accounts documents, impersonated a customer to effect a transaction, and forged…
Jeffrey Allen Delaney Junior, of Columbia, South Carolina, a stockbroker formerly registered with Pruco Securities, LLC, has been fined $15,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Delaney, inter alia, forged a customer’s signature on account documentation. Letter…
Lawrence M. Thomas, of North Attleboro, Massachusetts, a stockbroker formerly registered with Essex Securities LLC, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he made improper investment recommendations to customers. Letter…
Salvatore Sapienza, of Latham, New York, a registered representative formerly registered with Northwestern Mutual Investment Services, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide information to FINRA in the course of an investigation into allegations of…
John Edward Olinghouse, of Sparks, Nevada, a stockbroker formerly registered with HD Vest Investment Services, has been fined $15,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity, based upon consenting to findings that he fabricated customer account documentation. Letter of Acceptance, Waiver and Consent, No….
Joan Katherine Norton, of Woburn, Massachusetts, a stockbroker formerly registered with Ausdal Financial Partners, Inc., has been named in a regulatory investigation being conducted by Financial Industry Regulatory Authority (FINRA) in regard to Norton’s potential violations of FINRA Rules 2010, 2310, and NASD Rule 3110. According to FINRA Public Disclosure, Norton may have made unsuitable…
David Howard Bigler, a stockbroker currently registered with UBS Financial Services Inc., has been named in a customer initiated investment related arbitration claim on February 2, 2017, in which the customer requested $21,000,000.00 in damages based upon allegations that between 2013 and 2016, UBS Financial Services Inc. failed to supervise Bigler’s activities concerning the customer’s…
Frederick Martin Quinn Jr., of Toledo, Ohio, a stockbroker formerly registered with Allstate Financial Services, LLC, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Quinn, inter alia, signed the names of customers on annuity exchange documentation without the customers’…
Mark Christopher Quale, a stockbroker formerly registered with First Financial Equity Corporation, was terminated by his firm on March 31, 2016, based upon allegations that Quale furnished documents to First Financial Equity Corporation containing customer signatures which were not genuine. FINRA Public Disclosure reveals that Quale has been named in four customer arbitrations concerning allegations…
John Jacob Avey, a stockbroker from Denver, Colorado, was terminated by employer Bosc, Inc. on January 15, 2016, based upon allegations that Avey admitted to the firm that a document which Avey provided in connection with a customer’s investment account contained signatures which were not authentic. FINRA Public Disclosure reveals that Avey has been named…
William Fredrick Kerschbaumer, Jr., of Carrollton, Ohio, was fined $12,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he forged his firm customer’s signatures and made misrepresentations to customers and his firm concerning annuity terms. Letter of Acceptance, Waiver and Consent, No….
Joey Cless Broussard, of Allen, Texas, a registered representative with Source Capital Group, Inc., was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity per a FINRA Office of Hearing Officers Default Decision containing findings that Broussard forged and falsified a document in connection with a customer’s investment. Department…
Steven M. Wisniewski, of Phoenixville, Pennsylvania, a stockbroker with Cambridge Investment Research, Inc., was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities after consenting to findings that he forged customer signatures on accounts documents. Letter of Acceptance, Waiver and Consent, No. 2015044110101 (July 22, 2016). According…
Michael Roger Griffith of Timonium, Maryland, a stockbroker with NYLIFE Securities LLC, was barred from association with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he had submitted fictitious applications for life insurance and forged customer signatures without authorization. Letter of Acceptance, Waiver and Consent, No. 2015046129301 (Jan….
Jacob Lerman of Souderton, Pennsylvania, a registered representative of Univest Investments, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he had failed to cooperate with a FINRA investigation into allegations that Lerman had committed forgery on customer documents. Letter of…
Daniel P. Glavin, a Stockbrokerwith Country Capital Management Company, was recently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that Glavin had obstructed a FINRA investigation and had converted approximately $45,000 in customer funds. Letter of Acceptance, Waiver, and Consent, No. 2015044416501 (Mar. 31, 2015)….
Christopher Yoon, a Stockbrokerwith Pruco Securities, LLC, was permanently barred by Financial Industry Regulatory Authority (FINRA) after consenting to findings that he lied about a life insurance beneficiary to obtain a signed blank check and forged or caused to be forged customer signatures on life insurance documents and application related materials. Letter of Acceptance, Waiver,…
Bart James Ellis, a registered representative with Ameriprise Financial Services, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) firm in any capacity after FINRA’s Office of Hearing Officers rendered a Default Decision finding that Ellis had falsified customer account documents, exercised unauthorized discretion in a customer’s account, and failed to…
Sam M. Stull, a registered representative for J.P. Morgan Securities LLC, was permanently barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that Stull forged the signatures of several customers and failed to cooperate with FINRA in their investigation into allegations of Stull’s misconduct. Letter…
Michael John Dell’ Olio, a broker with North Atlantic Securities was permanently barred from association with Financial Industry Regulatory Association finding that Dell `Olio failed to cooperate with an investigation into potential violations of federal securities laws. Department of Enforcement v. Michael John Dell’ Olio, No. 2012034939302 (May 4, 2015). FINRA’s Department of Enforcement had…