James Kenneth Couture of Worcester, Massachusetts, a stockbroker formerly registered with LPL Financial LLC, is referenced in a customer initiated investment related written complaint that was settled for $270,179.42 in damages on May 19, 2022, supported by accusations of misappropriation of the customer’s funds by Couture while he was registered with LPL Financial. FINRA Public…

National Securities Corporation, a securities broker-dealer headquartered in Boca Raton, Florida, has been censured and fined $3,600,000.00 by Financial Industry Regulatory Authority (FINRA) based in part on National Securities Corporation’s negligent omissions relating to GPB Capital Holdings and its failure to supervise the recommendation of non-traded real estate investment trusts (non-traded REITs) to customers. Letter…

Jason Paul Collichio of Carle Place, New York, a stockbroker formerly registered with Worden Capital Management, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $20,000.00 in damages alleging that Collichio made unsuitable recommendations to the customer inconnection with the recommendation and sale of certain common stocks…

James Travis Flynn (also known as Jim Flynn) of Greenville, South Carolina is identified in a customer initiated investment related FINRA securities arbitration claim in which the customers seek $1,500,000.00 in damages based upon allegations that Flynn made misrepresentations ccncerning investments made in a business development company and real estate investment trust by Flynn while…

Neil Walter Koch of Minneapolis, Minnesota, a stockbroker formerly registered with American Enterprise Investment Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Koch refused to give documents and information to FINRA during an investigation into the circumstances of Koch’s employment termination…

Daniel Todd Lerner of White Plains, New York, a stockbroker currently registered with David Lerner Associates Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $250,000.00 in damages for  breach of fiduciary duty, misrepresentation, and unsuitable trades when Lerner was associated with David Lerner Associates. Financial…

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 A. Parrelly (also known as Jim Anthony Parrelly) of Dearborn, Michigan, a stockbroker formerly registered with Investment Planners Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Parrelly’s refusal to comply with a FINRA investigation concerning his potential unauthorized communications relating to…

Mark Fallon Kregor of Louisville, Kentucky, a stockbroker formerly registered with Robert W. Baird Co. Incorporated, has been permitted to resign as a stockbroker on July 15, 2021, following a disciplinary action brought by Kentucky Department of Financial Institutions. Kregor was fined $32,000.00 and suspended by the Kentucky regulator from doing securities business in the…

Kevin Charles Fretz of South Windsor, Connecticut, a stockbroker formerly registered with LPL Financial LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $55,000.00 in damages based upon allegations that Fretz made the unsuitable recommendation of certain non-traded real estate investment trusts (“REITs”) while he was…

William Edward Torriente (also known as Ed Torriente and as Eddy Torriente) of Phoenix, Arizona, a stockbroker formerly registered with Comerica Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Torriente failing to cooperate with FINRA investigators concerning allegations of Torriente’s unauthorized…

Charles Scott Burford (also known as Scott Burford), a stockbroker formerly registered with Hilltop Securities Independent Network Inc., has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member according to a FINRA Office of Hearing Officers’ Hearing Panel Decision containing findings of Burford’s unauthorized transactions in…

David Michael Karandos of Indianapolis, Indiana, a stockbroker formerly registered with Dinosaur Financial Group LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Karandos failed to cooperate with a FINRA investigation into allegations of Karandos’ unsuitable recommendations in the account of a Dinosaur…

Gary Begnaud of Mount Laurel, New Jersey, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith, is identified in a  FINRA securities arbitration claim in which the customer seeks unknown compensatory damages based upon the alleged unauthorized trading of mutual funds some two years earlier in 2020 while Begnaud was associated with Merrill Lynch….

Lawrence John Fawcett (also known as Larry Fawcett Jr.) of Los Angeles, California, a stockbroker formerly registered with Westpark Capital and Salomon Whitney Financial, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member supported by allegations that Lawrence failed to pay an arbitration award to an investor. FINRA Public Disclosure  …

Christopher R. Bice (also known as Cubby Bice) of Greensboro, North Carolina, a stockbroker currently registered with Sagepoint Financial Inc., is referenced in a customer initiated investment related written complaint on February 9, 2022, where the customer sought $7,600.00 in damages based upon accusations of Bice’s unsuitable investment recommendations concerning structured notes while he was…

Ramiro Luis Colon (also known as Ramiro Luis Colon Ortiz III) of Miami, Florida, a stockbroker formerly registered with UBS Financial Services, has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Colon discussed securities business with customers through…

Heather Peterson Weber (also known as Heather Adrienne Weber) of Clearwater, Florida, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $125,000.00 in damages based upon allegations that Weber made misrepresentations and provided unsuitable investment recommendations during…

Anthony Baker Liddle (also known as Tony B. Liddle) of Oshkosh, Wisconsin, a stockbroker formerly registered with Landolt Securities and Western International Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Liddle refused to comply with the regulator during an investigation into Liddle’s…

Michael Christopher Martino of New York, New York, a stockbroker currently registered with Four Points Capital Partners LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages based upon accusations that Martino provided unsuitable investment advice by Martino from 2014 to 2017 in connection…

Charles Ronald Baker (also known as Ron Baker) of Lubbock, Texas, a stockbroker formerly registered with Richfield Orion International Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Baker did not cooperate with the regulator regarding its investigation into his possible unsuitable and…

Gary David Ginsberg of West Orange, New Jersey, a stockbroker formerly registered with Royal Alliance Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $65,000.00 in damages based upon allegations that Ginsberg made  unsuitable alternative investment recommendations while associated with Royal Alliance. Financial Industry Regulatory…

Timothy Patrick Higgins of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, has been charged in a Complaint in which Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleges that Higgins failed to cooperate with a FINRA investigation on two separate occasions relating to Higgins’ potential excessive and unsuitable trading of…

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

Camille Cordova of Woodland Hills, California, a stockbroker formerly registered with Equitable Advisors (formerly known as AXA Advisors), 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 Cordova made an unsuitable recommendation to the customer regarding a variable…

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

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

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

Brian F. Donnelly of Iselin, New Jersey, a stockbroker formerly registered with First Allied Securities Inc., has been suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Donnelly engaged in private securities transactions when he was associated with First Allied Securities. Letter of…

Igor Peter Kislitsa of Citrus Heights, California, a stockbroker formerly registered with PFS Investments Inc., has been suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Kislitsa failed to timely comply with a FINRA investigation concerning his involvement in customer accounts while registered…

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

Vincent Anthony Virga of Bayonne, New Jersey, a stockbroker formerly registered with Madison Avenue Securities, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages founded on allegations that the customer received unsuitable investment recommendations from Virga concerning alternative investments while Virga was associated with Madison…

Jonathan Craig Rich of New York, New York, a stockbroker and investment banking principal formerly registered with National Securities Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Rich refused to testify in a FINRA investigation concerning solicitation of offerings and his supervision…

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

John Michael Krohn (also known as John Micheal Krohn) of West Des Moines, Iowa, a stockbroker formerly registered with Principal Securities Inc., is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $250,000.00 in damages based upon allegations of Principal Securities’ failure to supervise Krohn, in connection with the…

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…

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

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

Arieh Israel of New York, New York, a stockbroker formerly registered with NYLife Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Israel misappropriated customer funds. Letter of Acceptance Waiver and Consent No. 2020065370301 (June 23, 2021). According to the AWC, on June…

Andrew W. Topka of Mount Pleasant, South Carolina, a stockbroker formerly registered with Kalos Capital Inc., is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $297,500.00 in damages founded on accusations of unsuitable trading and breach of fiduciary duty concerning business development companies, direct investments, and real estate…

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

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

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

Sanjay Bhargava of Independence, Ohio, a stockbroker formerly registered with Securities America 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 findings that Bhargava took part in private securities transactions during the time that he was employed by Securities…

James Earl Simpson of Toledo, Ohio, a stockbroker formerly registered with Equitable Advisors LLC, is identified in a customer initiated investment related written complaint which was settled for $51,500.00 on January 28, 2022, founded on allegations that the customer was sold an unsuitable variable annuity through Simpson when he was employed by Equitable Advisors. According…

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

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

Matthew Howard Smith of Clifton Park, New York, a stockbroker formerly registered with Securities America Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with failing to cooperate with investigators in regard to the reason for his termination as a stockbroker from Securities America. Department of Enforcement v. Matthew Smith, Disciplinary…

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

Ian Phillip Lowrey of Brandon, South Dakota, a stockbroker formerly registered with Spartan Capital Securities LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he executed excessive trades in customer accounts resulting in losses to Spartan Capital…

Stephanie Jing Wen Xiao of Harrisburg, Pennsylvania, a stockbroker formerly registered with PFM Fund Distributors Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Xiao failed to cooperate with a FINRA investigation concerning allegations of Xiao’s trading in an unapproved account while registered…

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

Bennett Robert Zamani of Paramus, New Jersey, a stockbroker formerly registered with Morgan Stanley, has been fined $27,500.00 and suspended for 14 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Zamani engaged in outside business activities and had provided prospective investors with unbalanced and unfair…

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

Jesus Jose Alvidrez of Brea, California, 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 supported by findings that Alvidrez failed to comply with a FINRA investigation concerning alleged outside business activities while registered with Transamerica Financial Advisors. Letter…

David Richard Geake of Chicago, Illinois, a stockbroker registered with American Trust Investment Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $965,793.00 in damages based upon allegations of breach of contract, negligence, fraud, violation of Illinois securities laws, violation of FINRA Rules 2311,…

Kaival Patel of Hackensack, New Jersey, a stockbroker formerly registered with Stifel Nicolaus Company, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Patel was uncooperative with FINRA’s investigation into allegations of Patel committing fraud.  Letter of Acceptance, Waiver, and Consent No. 2022074024401 (May…

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

Edgar A. Kleydman of Brooklyn, New York, a stockbroker formerly registered with Equitable Advisors LLC (formerly known as AXA), is named in a customer initiated investment related FINRA securities arbitration claim where the customer received an award of $10,325.32 in damages supported by findings of Kleydman’s sales practice violations. The Statement of Claim alleges negligence,…

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

Edric Michael McSween of Naples, Florida, a stockbroker formerly registered with Ameriprise Financial Services, 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 while under investigation for potentially engaging in unauthorized outside business activities and unauthorized…

Torch Securities LLC, a securities broker dealer headquartered in Sugar Land, Texas, has been censured and fined $17,500.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that Torch Securities failed to supervise private placement transactions recommended to customers. Letter of Acceptance, Waiver, and Consent No. 2019062311702 (May 6, 2022). According to the AWC, from…

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

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

Peter J. Fetherston of New York, New York, a stockbroker formerly registered with Principal Securities Inc., has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint that alleges Fetherston’s misappropriation and conversion of funds belonging to two customers of Principal Securities. Department of Enforcement v. Peter J. Fetherston, Disciplinary Proceeding No. 2020065396501 (May…

William Franklin Richardson (also known as Frank Richardson) of Houston, Texas, a stockbroker formerly registered with Investacorp Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $90,000.00 in damages based upon accusations of unsuitable Business Development Company and Real Estate Investment Trust purchases  by Richardson while he…

Charles Chester Kulch of Nashua, New Hampshire, a stockbroker formerly registered with Next Financial Group Inc., has been barred by Massachusetts Securities Division from being a stockbroker supported by allegations of Kulch making unsuitable recommendations to customers on variable annuities and non-traded real estate investment trusts. In the Matter of Charles C. Kulch Docket No….

Philip Anthony Simone of Irvine, California, a stockbroker formerly registered with Equitable Advisors LLC (formerly known as AXA), is identified in a customer initiated investment related written complaint on December 30, 2021, where the customer requested compensatory damages supported by accusations that Simone did not pay them back on a loan Simone received while registered…

Daniel James Lauletta of Cleveland, Ohio, a stockbroker formerly registered with MML Investors Services LLC, is the subject of an Arkansas Securities Department regulatory investigation in which the Department might file a complaint seeking revocation, administrative fines, and a cease and desist order against Lauletta based upon allegations that Lauletta potentially violated Arkansas Securities Act…

Berthel Fisher Company Financial Services, a securities broker-dealer headquartered in Cedar Rapids, Iowa, has been censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) based in part on findings that it recommended unsuitable options to a customer and failed to supervise options trading in customer accounts. Letter of Acceptance, Waiver, and Consent No. 2018057425202…

IBN Financial Services Inc., a securities broker-dealer headquartered in Liverpool, New York, has been censured and fined $45,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that IBN negligently omitted information to customers in connection with GPB Capital Offerings. Letter of Acceptance, Waiver, and Consent No. 2019061214401 (April 14, 2022). According to the AWC,…

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

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

Bruce Cameron Amman of Golden, Colorado, a stockbroker formerly registered with LPL Financial LLC, 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 Amman engaged in private securities transactions during the time that he was employed by LPL Financial. Letter of…

Steven Andrew Greer of Charlotte, North Carolina, a stockbroker formerly registered with GF Investment Services LLC, is identified in a customer initiated investment related civil lawsuit where the customer requested $25,000.00 in damages based upon allegations of unsuitable recommendations by Greer concerning direct participation programs, business development corporations, real estate securities, and fixed annuities during…

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

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

Doan Cong Nguyen of Vancouver, British Columbia, a stockbroker formerly registered with Raymond James (USA) Ltd., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he did not comply with FINRA while under investigation for an undisclosed outside business activity while registered with Raymond…

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

Philip Marchese of New York, New York, a stockbroker formerly registered with Spartan Capital Securities LLC, has been suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Marchese made unsuitable recommendations to a customer when Marchese was employed by Spartan Capital. Letter of…

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

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…

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

John Scott Winslow of Gig Harbor, Washington, 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 Winslow failed to cooperate with a FINRA investigation concerning accusations of his failure to return funds provided to him from an…

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

Jonathan Adam Stuffer (also known as Jon Stuffer) of Staten Island, New York, 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 founded on findings that he failed to comply with FINRA during the time that it investigated his…

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

Ryan James Ott of Woodbridge, New Jersey, a stockbroker formerly registered with Equitable Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to cooperate with FINRA’s request for information. Case No. 2020068564201 (November 1, 2021). According to FINRA Public Disclosure,…

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

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

George Louis McCaffrey of Englewood, Colorado, a stockbroker formerly registered with NTB Financial Corporation (formerly known as Neidiger Tucker Bruner Inc.), is referenced in a customer initiated investment related civil action on September 16, 2021, in which the customer sought $1,702,000.00 in damages based upon accusations of false representations by McCaffrey concerning a promissory note…

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

Jay Sailesh Sheth of New York, New York, a stockbroker currently registered with National Securities Corporation, has been fined $20,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Sheth’s undisclosed private securities transactions, sharing in customer losses, and use of communication…

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

Neil David Berlant of Los Angeles, California, a stockbroker formerly registered with DA Davidson Co., has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he executed discretionary trades in customer accounts without written authorization and mismarked customer order…

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

Nicholas Joseph Travascio (also known as Nicholas Joseph Tarvash and as Nick Tarvash) of Hurst, Texas, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related written complaint on September 8, 2021, where the customer requested $48,461.00 in damages based upon allegations of the unsuitable purchase of securities…

Marianne Oshee Smith of Avon, Connecticut, a stockbroker formerly registered with Cetera Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she converted funds from elderly customers of Cetera Advisors. Letter of Acceptance, Waiver, and Consent No. 2021071670001 (April 5, 2022). According…

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

Jeffrey Paul Weiner of New York, New York, a stockbroker formerly registered with Pruco Securities LLC, has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Weiner’s unauthorized activities, including impersonating a Pruco Securities customer to identify information on…

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