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…

Beliveau Bays (also known as Beau Bays), of Plano, Texas, a stockbroker formerly registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on February 16, 2021, in which the customer requested compensatory damages based upon allegations that their signature had been forged on an account application when Bays was…

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…

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