Promissory Notes

George Louis McCaffrey III of Englewood Colorado a stockbroker formerly registered with NTB Financial Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings of him selling away and giving false information to FINRA during a period that he was investigated for engaging in private […]

James Anthony Parrelly (also known as Jim Anthony Parrelly) of Dearborn Michigan a stockbroker formerly registered with Investment Planners Inc. has been terminated on June 25, 2020 supported by allegations of Parrelly failing to comply with company policy. The securities broker dealer alleged that Parrelly made unauthorized trades in customer accounts and had failed to […]

Candido Jose Viyella of Miami Florida a stockbroker formerly registered with Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Viyella failed to comply with FINRA when it investigated him for potentially selling away from Morgan Stanley. Letter of Acceptance Waiver and […]

Steven Douglas Schisler of Grass Valley California a stockbroker formerly registered with IFS Securities has been charged by Financial Industry Regulatory Authority (FINRA) with engaging in private securities transactions, making unsuitable recommendations and failing to cooperate with FINRA during the period that he was under investigation. Department of Enforcement v. Steven Douglas Schisler Disciplinary Proceeding […]

Jon Richard Pariser of Pacific Grove California a stockbroker formerly registered with Independent Financial Group is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,202,739.63 in damages based upon accusations of Pariser having involved himself with people who persuaded the customer to invest in fraudulent promissory notes. Financial […]

George Marshall Warner of Staten Island New York a stockbroker formerly registered with Chelsea Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he neglected to cooperate with a FINRA investigation into accusations of him selling away from Chelsea Financial Services. Letter […]

Sean Daniel McDevitt of Houston Texas a stockbroker formerly registered with Woodrock Securities LP has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that McDevitt engaged in outside business activities while registered with Woodrock. Letter of Acceptance Waiver and […]

Lisa Ann Brumm (also known as Lisa Ann Moon) of Portland Oregon a stockbroker formerly registered with AXA Advisors LLC 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 findings that she provided unsuitable recommendations to customers and made misrepresentations […]

John James Hoidas of Chicago Illinois a stockbroker formerly registered with Uhlmann Price Securities LLC is referenced in a customer initiated investment related written complaint which was settled for $12,500.00 on October 6, 2020 founded on allegations of unsuitable closed-end fund transactions being effected in the customer’s account by Hoidas while he was registered with […]

Whitehall-Parker Securities Inc. and its supervisor Robert J. Yuloo both of San Rafael California have been sanctioned by Financial Industry Regulatory Authority (FINRA) supported by findings of Whitehall-Parker and Yuloo having failed to supervise its stockbrokers’ outside business activities. Letter of Acceptance Waiver and Consent No. 2017052705802 (Jan. 15, 2021). According to the AWC, from […]

Robert Frederick Genito of Bonita Springs Florida a stockbroker formerly registered with PFS Investments Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages supported by allegations that the customer had been issued a promissory note through Genito and that the stockbroker defaulted on […]

Frank Howard Zito of Ridgeland Mississippi a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith has been fined $10,000.00 and suspended for 16 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zito engaged in private securities transactions and outside business activities while registered with […]

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 […]

Jay R. Weiser of Collinsville Illinois a stockbroker formerly registered with DesPain Financial Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $100,001.00 in damages supported by accusations that the customer’s retirement assets were mismanaged as it pertained to a promissory note transaction executed by Weiser during […]

Tony A. Kassaei of Irvine California a stockbroker formerly registered with JP Turner Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Kassaei took part in private securities transactions involving real estate securities during the time that he was employed by JP Turner. […]

Harry Seth Datys of New York New York a stockbroker formerly employed by WestPark Capital Inc. has been fined $20,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he advised customers of WestPark to purchase promissory notes that were not suitable for them and […]

Michael Richard Mackay of Cincinnati Ohio a stockbroker formerly associated with Transamerica Financial Advisors has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages supported by allegations that the customer had been placed into real estate security and insurance products as well as a charitable annuity […]

Peter Rajinder Kohli of Leesport Pennsylvania a stockbroker formerly registered with Trustmont Financial Group is the subject of a customer initiated investment related arbitration claim in which the customer requested $373,023.00 in damages based upon allegations that Trustmont failed to supervise Kohli’s securities transactions in the customer’s account which resulted in losses. Financial Industry Regulatory […]

Gregory Alan Ricker of Boca Raton Florida a stockbroker formerly associated with Westpark Capital 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 supported by findings that he engaged in private securities transactions without the securities broker dealer’s approval. Letter of […]

Michael Joseph Iannarino (also known as Mike Iannarino) of Columbus Ohio a stockbroker formerly registered with Private Client Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Iannarino failed to comply with a FINRA investigation into accusations of his recommendations and sales […]

Fredrick Martin Randhahn (also known as Frederick Martin Randhahn) of Ogden Utah a stockbroker formerly registered with Sigma Financial Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages based upon accusations that the customer was placed into risky and fraudulent Woodbridge Mortgage Investment products during […]

Elizabeth Ann Morrell of Westlake Village California a stockbroker formerly employed by Western International Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she declined to cooperate with a FINRA investigation regarding allegations of her sales of promissory notes relating to Woodbridge Group […]

Christopher Richard Wurtzinger of Chicago Illinois a stockbroker and supervisor formerly registered with Forest Securities has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that Wurtzinger failed to supervise outside business activities relating to the sale of Woodbridge Group of Companies promissory […]

Kirk James Bertsch of Spearfish South Dakota a stockbroker formerly employed by Farmers Financial Solutions LLC has been identified in a customer initiated investment related written complaint on February 27, 2020 where the customer sought $24,361.09 in damages founded on accusations of an unregistered promissory note purchase executed by Bertsch while he was employed by […]

Dee Dee Brooks (also known as Doris Brooks and as Doris Takooshian) of Huntington Beach California a stockbroker formerly associated with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she engaged in unapproved private securities transactions involving Future Income Payments […]

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 arbitration claim where the customer sought $50,000.00 in damages based upon accusations that (1) due diligence was not properly performed prior to Cohen having recommended or sold direct investments to […]

George Louis McCaffrey III of Englewood Colorado a stockbroker formerly associated with NTB Financial Corporation has been referenced in a customer initiated investment related complaint on May 14, 2019 in which the customer requested $290,000.00 in damages supported by allegations of the customer being inappropriately advised by McCaffrey to use individual retirement account funds to […]

Christine Louise Cantone (also known as Christine L. Gefken) of Eatontown New Jersey a Vice President and Chief Compliance Officer of Cantone Research Inc. is the subject of a customer initiated investment related complaint which was resolved on February 14, 2019 for $42,500.00 in damages based upon accusations of Christine Cantone’s failure to supervise a […]

Alan Harold New of Fort Wayne Indiana 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 consenting to findings that New neglected to provide information and documentation to the regulator during an investigation into allegations of New’s sale […]

Dana Bruce Vietor of Dallas Texas a stockbroker formerly registered with CFD Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Vietor sold unregistered securities away from his securities broker dealer employers including CFD Investments as well as Cape Securities and Oakbridge […]