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

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

Shawn Elizabeth Parker of Schaumburg Illinois a stockbroker formerly registered with Ameriprise Financial Services is the subject of a customer initiated investment related written complaint on February 12, 2021 where the customer requested $254,336.56 in damages founded on accusations of Parker misrepresenting benefits and features on a living benefit rider on their RiverSource RAVA 5…

Jeffrey Gerard Meyers (also known as Jeff Meyers) of Overland Park Kansas a stockbroker currently registered with Cetera Advisor Networks LLC is the subject of a customer initiated investment related written complaint on June 9, 2021 where the customer sought compensatory damages supported by allegations of Meyers’ unsuitable real estate security transactions while he was…

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

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

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

William Charles Sines (also known as Bill Sines) of Seminole Florida a stockbroker currently registered with Berthel Fisher Company Financial Services is the subject of a customer initiated investment related written complaint on December 31, 2020 in which the customer requested more than $5,000.00 in damages supported by allegations that the customer was sold an…

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

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

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

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

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

Hugues Guirand of Virginia Beach Virginia a stockbroker formerly registered with Woodstock Financial Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by a FINRA Office of Hearing Officers Default Decision containing findings that Guirand did not cooperate with FINRA in an investigation relating to…

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

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

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

Michael James Henschel of Stevens Point Wisconsin a stockbroker and investment adviser representative of LPL Financial LLC has been referenced in a customer initiated investment related written complaint on March 27, 2020 where the customer sought $13,900.00 in damages based upon allegations that they were sold a real estate investment trust (REIT) that was misrepresented…

Christopher John Shaw (also known as Chris Shaw) of Belmont North Carolina a stockbroker of Kalos Capital and investment adviser representative of Kalos Management is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $175,000.00 in damages founded on allegations that Shaw breached a fiduciary duty to the…

Luke Michael Johnson of Scottsdale Arizona a stockbroker formerly registered with Coastal Equities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $76,500.00 in damages founded on allegations that Johnson provided unsuitable recommendations concerning real estate security transactions at Coastal Equities. Financial Industry Regulatory Authority (FINRA) Arbitration…

Rebecca King Wah Ng-Tsang of Bellevue Washington a stockbroker currently registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on December 9, 2020 in which the customer sought more than $5,000.00 in damages supported by allegations of misrepresentations by the stockbroker as it pertained to the liquidity…

Cindy Lucille Porto Chiellini of Lexington South Carolina a stockbroker registered with Centaurus Financial Inc. and JP Turner Company LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $125,000.00 in damages based upon allegations of unsuitable recommendations of a corporate bond and a certificate of…

Thomas Edison Kelly Jr. of New York New York a stockbroker formerly registered with National Securities Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought more than $5,000.00 in damages based upon accusations that they were sold unsuitable private placements by Kelly while he was associated…

Joseph Sylvester Sturniolo of Denver Colorado a stockbroker formerly registered with Geneos Wealth Management Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $75,000.00 in damages based upon accusations that Sturniolo provided unsuitable recommendations to the customer as it pertained to a real estate security,…

Robert Scott Ginsberg (also known as Bob Scott Ginsberg) of Wallingford Connecticut a stockbroker currently registered with Woodbury Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon accusations of the stockbroker’s unsuitable recommendations during the time that he was associated…

Farrukh Shazad Kazmi of Moorestown New Jersey a stockbroker currently registered with Berthel Fisher Company Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $350,000.00 in damages founded on allegations of failed due diligence relating to the customer’s investment in a business development company and real…

Angelo Talebi of Sherman Oaks California a stockbroker formerly registered with Independent Financial Group LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages founded on allegations that the customer had been placed into unsuitable alternative investments because of Talebi at Royal Alliance Associates….

John Edgar Simmons Jr. of Gulf Breeze Florida a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simmons failed to cooperate with FINRA’s investigation which focused on whether he engaged in unapproved private securities transactions. Letter…

Galen Kyle Kopman of Vancouver Washington a stockbroker formerly registered with Centaurus Financial Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $30,774.00 in damages founded on accusations that Kopman had the customer invest in high-risk and illiquid investments. Financial Industry Regulatory Authority (FINRA) Arbitration No….

Adam Gerard Belardino of Elmsford New York a stockbroker formerly registered with MML Investors Services has been charged by Financial Industry Regulatory Authority (FINRA) with failing to cooperate with an investigation in which he was being examined for possible excessive trading in customer accounts. Department of Enforcement v. Adam Gerald Belardino Disciplinary Proceeding No. 2019062347102…

Mercer Hicks III (also known as Toby Hicks III) of Charlotte North Carolina a stockbroker formerly registered with Capital Investment Group and Southeast Investments NC Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Extended Hearing Panel Decision containing findings that Hicks made…

Bryon Edwin Martinsen of Kings Park New York a stockbroker currently registered with Centaurus Financial Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $3,000,000.00 in damages founded on accusations that between November of 2007 and October of 2020, the customer’s account had been invested…

Marc Frederick Korsch of Sarasota Florida a stockbroker formerly registered with Centaurus Financial Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded on accusations that they had been invested in unsuitable investments including real estate securities and direct investments because of Korsch and…

Independent Financial Group LLC a securities broker dealer headquartered in San Diego California has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that it failed to supervise a stockbroker who made unsuitable recommendations to customers. Letter of Acceptance Waiver and Consent No. 2018059223401 (Apr. 8, 2021). According to the…

Andrew Raymond Scheirer II (also known as Andy Haas) of Lake Mary Florida a stockbroker formerly registered with Kovack Securities is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $75,000.00 in damages supported by allegations that the customer was placed into unsuitable real estate investment trusts by…

Charles Chester Kulch of Nashua New Hampshire a stockbroker formerly registered with NEXT Financial Group Inc. has been charged by Massachusetts Securities Division with violating Massachusetts laws founded on accusations that he sold risky, illiquid and unsuitable non-traded REITs to customers and had overconcentrated their accounts in those products. In the Matter of Charles C….

Hugues Guirand of Virginia Beach Virginia a stockbroker formerly registered with Woodstock Financial Group has been charged by Financial Industry Regulatory Authority (FINRA) with failing to cooperate with its investigation into accusations of his solicitation of real estate investment trusts while he was associated with Woodstock Financial Group. Department of Enforcement v. Hugues Guirand Disciplinary…

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 in which the customer requested $100,000.00 in damages founded on allegations that the customer was sold an unsuitable real estate security during the period that…

John Stephen Pronovost of Watertown Connecticut a stockbroker formerly registered with Cambridge Investment Research is referenced in a customer initiated investment related written complaint on October 16, 2020 in which the customer requested $88,800.00 in damages supported by allegations that the customer was placed into unsuitable real estate securities and mutual funds while Pronovost was…

Shawn Bruce Davis of Auburn California a stockbroker formerly registered with Independent Financial Group is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested compensatory damages supported by allegations that their assets had been concentrated in non-traded real estate investment trusts by Davis during the time that he was…

John F. Riccardi Jr of New York New York a stockbroker formerly registered with Windsor Street Capital LP is named in a customer initiated investment related FINRA securities arbitration claim in which the customer was awarded $250,000.00 in damages based on Riccardi and Windsor Street Capital being found liable on the customer’s causes of action…

Cabot Lodge Securities LLC a securities broker dealer headquartered in New York has been censured and fined $270,000.00 by Financial Industry Regulatory Authority (FINRA) according to an Order Accepting Offer of Settlement which contains findings of Cabot Lodge failing to supervise REIT offerings and providing unsuitable recommendations to customers. Department of Enforcement v. Cabot Lodge…

Daniel Ernest Davis (also known as Danny Davis) of Louisville Kentucky a stockbroker currently registered with Ausdal Financial Partners Inc. is the subject of a customer initiated investment related written complaint on February 21, 2020 in which the customer requested $92,707.00 in damages founded on accusations of Davis making unsuitable investment recommendations to the customer concerning…

Gerald James O’Halloran of Punta Gorda Florida a stockbroker formerly registered with Kovack Securities Inc. is the subject of a customer initiated investment related written complaint which was settled for $24,000.00 in damages on May 29, 2020 based upon allegations that the customer had been placed into unsuitable real estate securities and stocks by O’Halloran…

James Andrew Geake (also known as Jim Geake) of Skokie Illinois a stockbroker currently registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related written complaint on November 5, 2020 in which the customer requested compensatory damages founded on accusations that unsuitable investment recommendations had been made by Geake causing…

Megurditch Mike Patatian (also known as Mike Patatian) a stockbroker formerly registered with Westlake International Securities Inc. has been charged by Financial Industry Regulatory Authority (FINRA) with making unsuitable recommendations of real estate investment trusts to customers of Western International Securities. Department of Enforcement v. Megurditch Patatian Disciplinary Proceeding No. 2018057235801 (Feb. 26, 2021). According…

Jaime Michael Westenbarger of Grand Rapids Michigan a stockbroker formerly registered with Securities America Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,000.00 in damages supported by accusations of the breach of both a contract and fiduciary duty by the stockbroker in reference to real…

Gerald Lee Repasz (also known as Jerry Repasz) of East Peoria Illinois a stockbroker formerly registered with Ausdal Financial Partners is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages supported by accusations that they had been placed into unsuitable investments including real estate securities…

Andrew Montgomery Costa of Fort Lauderdale Florida a stockbroker formerly registered with GF Investment Services LLC is referenced in a customer initiated investment related complaint on October 21, 2020 in which the customer requested $50,000.00 in damages based upon allegations that unsuitable real estate investment trusts had been sold to them during the time that…

Joseph Patrick Roop (also known as Joe Pat Roop) of Belmont North Carolina a stockbroker formerly registered with Kalos Capital Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 in damages based upon accusations that the customer received unsuitable investment recommendations from Roop concerning real estate…

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…

Kevin Douglas Houser of Allentown Pennsylvania a stockbroker and investment adviser representative of LPL Financial is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $358,000.00 in damages supported by accusations that the customer had been provided unsuitable investment recommendations regarding business development companies and real estate…

Michael August Pellegrino of Oakbrook Terrace Illinois a stockbroker formerly registered with Taylor Capital Management Inc. (TCM) has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he provided misleading information to investors concerning short-term high-yield contracts. Letter of…

William Franklin Richardson Jr. (also known as Frank Richardson Jr.) of Houston Texas a former stockbroker and investment adviser representative of Investacorp has been referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested unspecified damages founded on accusations that they had been sold unsuitable business development company products and…

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Newbridge Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA during the period that he was investigated for borrowing from Newbridge customers. Letter of Acceptance…

Gilberto Briseno (also known as Gilbert Briseno) of Boutte Louisiana a former stockbroker and investment adviser representative of LPL Financial is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages estimated to exceed $5,000.00 founded on allegations that the customer received unsuitable investment recommendations from Briseno concerning…

William Robert Young (also known as Bill Young) of Rockville Maryland a stockbroker and investment adviser representative of Kingswood Capital Partners LLC is the subject of a customer initiated investment related complaint on October 1, 2020 in which the customer sought more than $5,000.00 in damages supported by accusations that the customer had been sold…

Richard Mark Braverman (also known as Rich Braverman) of Lancaster Pennsylvania a stockbroker currently registered with Geneos Wealth Management Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $90,000.00 in damages founded on allegations that it was not suitable for the customer to be sold direct investments…

Scott Michael Barber of Dubois Pennsylvania a former stockbroker and investment adviser representative of Cetera Advisor Networks LLC is the subject of a customer initiated investment related written complaint on October 30, 2020 in which the customer requested $130,000.00 in damages supported by allegations that real estate security transactions executed in the customer’s Cetera Advisor…

James Joseph Zegers of Albany New York a stockbroker formerly registered with Voya Financial Advisors Inc. has been referenced in a customer initiated investment related arbitration claim which was resolved for $34,000.00 in damages supported by allegations that the customer was negligently placed in NorthStar REIT while Zegers was associated with Voya Financial Advisors. Financial…

Christopher Paul Puffer of Louisville Kentucky a stockbroker formerly registered with Money Concepts Capital Corp and Money Concepts Advisory Services is the subject of a customer initiated investment related arbitration claim that was settled for $14,500.00 in damages based upon allegations of negligence and a breach of contract governing the customer’s alternative investment purchases including…

Brittney Jade Sias (also known as Rosalie P. Sias) of Westlake Village California a stockbroker formerly registered with Western International Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested up to $500,000.00 in damages based upon allegations of bad investment advice concerning non-traded real estate investment trusts…

Ronald Reed McCook of Scottsdale Arizona a stockbroker currently registered with First Allied Securities Inc. and an investment adviser representative of Cetera investment Advisers LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested unspecified damages supported by allegations that the customer had been placed in real estate…

John Tweardy Jr. of Canonsburg Pennsylvania a stockbroker formerly registered with H. Beck Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $1,175,000.00 in damages founded on allegations that the customer had been placed into bad variable annuity, real estate investment trust and business development company products by…

Keith Landon Kelt (also known as Landon Keith Kelt) of Santa Barbara California a stockbroker employed by Kovack Securities Inc. and TKG Financial LLC is referenced in a customer initiated investment related written complaint which was settled for $12,000.00 on April 7, 2020 founded on allegations that the customer’s account had been improperly managed at…

Scot Samuel Fairchild (also known as Scott Samuel Fairchild) of Henderson Nevada and San Diego California a stockbroker formerly registered with Lucia Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $214,335.00 in damages supported by allegations that Nevada securities laws had been violated in reference to Fairchild’s…

Cynthia Diane Cowden (also known as Cynthia Case) of Lake Isabella California a stockbroker formerly registered with NPB Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Cowden made unsuitable investment recommendations to investors and failed to be forthcoming with FINRA…

David Arthur Hicks of Fort Pierce Florida a stockbroker formerly registered with H Beck Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $475,000.00 in damages supported by accusations that unsuitable real estate investment trust products and variable annuity products had been sold to the customer during the…

Gary Arthur Forrest of Flint Michigan a stockbroker formerly registered with American Portfolios Financial Services is referenced in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages supported by accusations of negligence and the breach of fiduciary duty by the stockbroker with respect to his sales of real estate securities…

Shawn Elizabeth Parker of Schaumburg Illinois a stockbroker formerly employed by Ameriprise Financial Services LLC has been terminated by the securities broker dealer on June 8, 2020 supported by allegations of her violation of company policy. Parker has been identified in five customer initiated investment related disputes containing allegations of her misconduct while she was…

Willard Louis Pugh of Boca Raton Florida a stockbroker formerly employed by Dawson James Securities is the subject of a customer initiated investment related arbitration claim where the customer requested $155,000.00 in damages based upon accusations that the customer was provided with bad investment advice from Pugh as it concerned the customer’s investments in United…

Michael John Osland of Scottsdale Arizona a stockbroker and investment adviser representative currently employed by Geneos Wealth Management Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested more than $5,000.00 in compensatory damages founded on accusations that a contract between the customer and the securities broker dealer…

Victor A. Rigoni III of Lake Forest Illinois a stockbroker formerly registered with Summit Brokerage Services is the subject of a customer initiated investment related arbitration claim that was settled for $25,000.00 in damages founded on accusations of breach of fiduciary duty and negligence relating to Rigoni’s real estate investment trust transactions. FINRA Arbitration No….

Christopher R. Bice (also known as Cubby Rice) a stockbroker currently registered with Sagepoint Financial is the subject of a customer initiated investment related arbitration claim in which the customer requested $350,000.00 in damages based upon allegations that the customer had been placed into unsuitable private placements by Bice during the time that he was…

Shawn Bruce Davis of Auburn California a stockbroker formerly associated with Independent Financial Group LLC and Berthel Fisher Company Financial Services has been referenced in a customer initiated investment related arbitration claim in which the customer requested $206,000.00 in damages supported by allegations that the customer had been unsuitably concentrated in illiquid investments including real…

Susan Lavon Welo of Mayville North Dakota a stockbroker formerly employed by Cetera Advisor Networks LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages founded on accusations of unsuitable private placements being sold to the customer while Welo was employed by Securities America Inc. and…

James Marten Lamont of San Francisco California a stockbroker formerly associated with Whitehall Parker Securities Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $2,000,000.00 in damages supported by allegations that the customer had been placed into bad investments including real estate securities and direct investment products…

Mark Andrew Trewitt of Plano Texas a stockbroker formerly registered with VFG Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $150,000.00 in damages based upon allegations that the customer had been placed into bad alternative investments and that misrepresentations had been made to the customer…

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Money Concepts Capital Corp is the subject of a customer initiated investment related arbitration claim in which the customer requested unspecified damages based upon allegations that securities laws of the State of Illinois were violated in regard to Shafer’s securities transactions and that the…

Thomas David Sharp (also known as Tom Sharp) of Gold River Colorado a stockbroker currently registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related civil action in the Sacramento County California Superior Court where the customer sought unspecified damages based upon accusations of negligence and breach of a fiduciary…

Gary Lyle Pevey of Sacramento California a stockbroker formerly associated with Mutual Securities Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,001.00 in damages supported by allegations that the customer had been defrauded by making a real estate security purchase in September of 2016 during the…

Yvonne Lara Silguero of McAllen Texas a stockbroker currently associated with LPL Financial LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages supported by allegations that a fiduciary duty that was owed to the customer had been breached by Silguero as it pertained to…

Frank Briseno III of Metairie Louisiana a stockbroker and investment adviser representative currently registered with FSC Securities Corporation is the subject of a customer initiated investment related written complaint on May 6, 2020 in which the customer requested more than $100,000.00 in damages based upon allegations that the customer was provided bad investment advice from…

Joseph Patrick Roop (also known as Joepat Roop) of Belmont North Carolina a stockbroker formerly employed by Kalos Capital Inc. has been identified in a customer initiated investment related written complaint which was resolved for $17,500.00 in damages on January 29, 2020 founded on accusations that the customer was placed into unsuitable real estate securities…

Edward Robert Taliaferro (also known as Robby Taliaferro and as Rob Taliaferro) of Chattanooga Tennessee a stockbroker formerly associated with JJB Hilliard WL Lyons has been referenced in a customer initiated investment related arbitration claim in which the customer requested $60,000.00 in damages supported by allegations that the customer had been defrauded on stock and…

Jacqueline Lynn Hanson (also known as Jacqui Hanson Shea and as Jacqueline Hanson Moore) of Washington D.C. a stockbroker formerly registered with Cuso Financial Services LP is the subject of a customer initiated investment related arbitration claim which was settled to resolve accusations that the Cuso Financial Services customer had been placed into a real…

Donald Stephen Woods (also known as Don Stephan Woods) of Louisville Kentucky a stockbroker formerly registered with LPL Financial 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 Woods provided unsuitable investment recommendations to customers and had submitted…

William Michael Robertson of Denver Colorado a stockbroker registered with First Allied Securities is the subject of a customer initiated investment related arbitration claim which was resolved for $8,000.00 in damages based upon accusations of (1) negligence (2) breach of a fiduciary duty (3) unsuitable real state security transactions and (4) First Allied Securities’ failure…

Rafael Golan (also known as Rafi Golan) of Delray Beach Florida a stockbroker registered with Crystal Bay Securities Inc. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon accusations that the stockbroker failed to respond to FINRA’s request for his information. Case No. 2019060635701…

John Stephen Pronovost of Watertown Connecticut a stockbroker currently employed by Cambridge Investment Research Inc. is the subject of a customer initiated investment related written complaint on February 10, 2020 in which the customer requested $172,000.00 in damages based upon allegations that the customer was provided with bad investment advice about two real estate investment…

James Travis Flynn (also known as Jim Flynn) of Greenville South Carolina a stockbroker formerly associated with Voya Financial Advisors Inc. and IFS Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $350,000.00 in damages based upon allegations that misrepresentations and omissions had been made to the…

Michael Fasciglione of Mineola New York a stockbroker formerly registered with National Securities Corp is the subject of a customer initiated investment related written complaint on January 15, 2020 in which the customer requested $123,000.00 in damages based upon allegations that the customer had been placed into a unsuitable real estate investments by Fasciglione during…

Peter David Maller of Hunt Valley Maryland a stockbroker registered with Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought unspecified damages based upon accusations that the customer fell victim to deceptive and unsuitable practices by Maller as the customer’s life savings had been placed…

James Andrew Geake (also known as Jim Geake) of Skokie Illinois a stockbroker employed by Madison Avenue Securities LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $17,500.00 in damages founded on accusations that (1) misrepresentations were made to the Madison Avenue Securities customer concerning real estate securities…

Jonathan Eric Ellefson (also known as Jon Ellefson) of Harker Heights Texas a stockbroker registered with Intervest International Equities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought unspecified compensatory damages based upon accusations that the customer was sold inappropriate real estate security, mutual fund and equipment leasing…

Jordan John Boyle of Saratoga Springs Utah a stockbroker currently registered with LPL Financial is the subject of a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages based upon allegations that the customer had been poorly advised as it pertained to real estate securities sold by Boyle between 2014…

Noel Ray Vincent of Southfield Michigan a stockbroker registered with Madison Avenue Securities LLC is the subject of a customer initiated investment related arbitration claim which was settled for $125,000.00 in damages based upon allegations of bad investment advice and misrepresentations being made to the customer in reference to mutual funds and equipment leasing securities…

Marc Frederick Korsch of Sarasota Florida a stockbroker registered with Centaurus Financial Inc. is the subject of a customer initiated investment related complaint on June 5, 2019 where the customer sought $53,000.00 in damages based upon accusations that misleading or false information had been provided to the customer between 2014 and 2019 in regard to…

Jason Paul Daugherty of Woodstock Georgia a stockbroker formerly registered with TCM Securities Inc. (also known as Taylor Capital Management) is the subject of a customer initiated investment related arbitration claim where the customer sought $150,000.00 in damages based upon accusations that the customer was placed into speculative and illiquid real estate investment trust products…

Wesley Justin Foltz of Alexandria Louisiana a stockbroker formerly associated with Prospera Financial Services Inc. and LPL Financial LLC has been referenced in a customer initiated investment related complaint on February 15, 2019 in which the customer requested $50,000.00 in damages supported by allegations that direct investments including a real estate investment trust sold by…

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