Alan Zelig Appelbaum of Boca Raton, Florida, a stockbroker formerly registered with Aegis Capital Corp., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $280,000.00 in damages based upon allegations that Appelbaum made unsuitable investment recommendations and engaged in other misconduct in connection…

Michael Allan Bressman of Chatham, New Jersey, a stockbroker registered with FCG Advisors LLC  has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative because Bressman committed fraud. SEC Civil Action No.1:18-cv-11925-WGY 1:18-cv-11925-WGY (Sept. 2, 2021). Bressman engaged in a cherry-picking scheme between January 2012 to February 2018…

Bradley Allen Goodbred of Roselle, Illinois, a stockbroker formerly registered with LPL Financial LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $1,225,000.00 in damages based upon allegations that Goodbred caused her to execute a document appointing representative as her power of…

John C. Howley (also known as Jack C. Howley) of Rumson, New Jersey, a stockbroker formerly registered with Park Avenue Securities has been fined $85,000.00 by New Jersey Bureau of Securities based upon allegations that Howley recommended unregistered securities. (Dec. 29, 2021).   According to the Revocation Order: From at least 2016 through 2018 (“Relevant Period”),…

John Michael Lopinto of New York, New York, a stockbroker registered with Worden Capital Management LLC has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for nine months based upon allegations that Lopinto engaged in the excessive and unauthorized trading of his customer accounts.  FINRA…

Benjamin Benoit Lowder Jr. (also known as Ben Lowder), of Charlotte, North Carolina, a stockbroker registered with MSI Financial Services Inc., is the subject of a customer initiated investment related civil action that was settled for $200,000.00 in damages based upon allegations that Lowder engaged in selling away and fraud in connection with the sale…

Michael Jeremiah Mooney of Mount Airy, North Carolina, a former investment adviser representative of Southport Capital and stockbroker of Oppenheimer Co. Inc., is the subject of an enforcement action initiated by Securities and Exchange Commission (SEC) in which the regulator is seeking sanctions against Mooney based upon allegations that Mooney violated federal securities laws by…

Michael Christopher Venturino of Garden City, New York, a stockbroker registered with Aegis Capital Corp., is referenced in an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) where the regulator is seeking sanctions against Venturino based upon allegations that Venturino committed fraud and made excessive and unsuitable transactions in Aegis Capital Corp customer accounts….

John Dennis Lowry of New York, New York, the owner of Spartan Capital Securities LLC, was identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages because Lowry allegedly breached a fiduciary duty and had recommended unsuitable investments while he was registered with Spartan Capital Securities. Financial…

Ronald Terrence Molo of Joliet, Illinois, a stockbroker formerly registered with Edward Jones, has been charged by Securities and Exchange Commission (SEC) with stealing approximately $800,000.00 from customers, at least one of which included an Edward Jones customer. SEC v. Ronald T. Molo, Civil Action No. 21-cv-06286 (November 23, 2021). According to SEC’s Complaint, between…

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. On September…

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…

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…

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,…

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…

Lester William Burroughs (also known as Chad Burroughs) of Torrington, Connecticut, a stockbroker formerly registered with Lincoln Investment Planning LLC (Lincoln Investment), is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages supported by accusations of misrepresentations relating to fixed and variable annuities when Burroughs was employed…

Lawrence John Fawcett Jr. (also known as Larry Fawcett), of Los Angeles, California, a stockbroker formerly registered with WestPark Capital Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer was awarded $545,727.12 in compensatory damages based upon WestPark Capital being found liable on the customer’s causes of action,…

Michael Francis Shillin, of Altoona, Wisconsin, a stockbroker formerly registered with Alliance Global Partners (AGP), has been charged by Securities and Exchange Commission (SEC) with defrauding investors about stock and insurance transactions when he was registered with Alliance Global Partners, Raymond James Financial Services Inc., Raymond James Financial Services Advisors Inc., Shillin Wealth Management LLC,…

Jaime Michael Westenbarger of Grand Rapids Michigan a stockbroker formerly registered with Securities America Inc. and First Allied Securities Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative supported by findings of Westenbarger misusing investor funds. In the Matter of Jaime M. Westenbarger Administrative Proceeding File…

Todd Anthony Esh of Shawnee Kansas a stockbroker formerly registered with LPL Financial LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment adviser representative founded on accusations of Esh making omissions and misrepresentations to investors. In the Matter of Todd A. Esh Order Instituting Administrative Proceedings Case…

Howard Joseph Allen III of New York New York a former stockbroker and executive of Portfolio Advisors Alliance LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $37,761.00 in damages based on accusations of negligence, breach of fiduciary duty and breach of contract as it pertained to…

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with LPL Financial LLC is named in a Securities and Exchange Commission (SEC) lawsuit in which SEC obtained a judgment which restrains and enjoins Booth from further violating federal securities laws based upon findings of Booth defrauding investors. Case No. 3:19-cv-01535 (Feb. 19, 2021). SEC…

Douglas Anthony Leone of Melville New York a stockbroker formerly registered with Salomon Whitney Financial and Newport Coast Securities has been fined $185,000.00 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Securities and Exchange Commission Opinion in which SEC affirmed a FINRA National Adjudicatory Council’s…

Robert Russel Tweed (also known as Rusty Tweed) of San Marino California the owner of Tweed Financial Services and former stockbroker of Concorde Investment Services LLC and Cabot Lodge Securities LLC has been barred as stockbroker and investment adviser representative by Securities Exchange Commission (SEC) according to an Order founded on allegations of Tweed misleading…

Dominic Anthony Tropiano of Cleveland Ohio a stockbroker formerly registered with America Northcoast Securities Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative based on accusations that Tropiano effected unauthorized and unsuitable transactions in customer accounts causing customers to experience more than $1,000,000.00 in losses. SEC…

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…

Michael Allan Bressman of Chatham New Jersey a stockbroker formerly registered with FCG Advisors LLC has been barred as stockbroker by New Jersey Bureau of Securities on March 18, 2021 founded on Bressman engaging in fraudulent practices and theft while he was associated with FCG Advisors LLC. New Jersey’s sanctions come after Bressman was convicted…

Jonathan Douglas Freeze (also known as Jon Freeze) a former stockbroker of Fortune Financial Services Inc. and representative of Alternative Energy Holdings Inc. has been charged by Securities and Exchange Commission (SEC) with defrauding twenty-five customers through fraudulent promissory notes transactions. Securities and Exchange Commission v. Jonathan D. Freeze et al. Case No. 2:21-cv-720 (June…

James Kenneth Couture of Worchester Massachusetts a former stockbroker of LPL Financial LLC and former investment adviser representative of Private Wealth Management Group has been charged by Securities and Exchange Commission (SEC) with taking part in a scheme to misappropriate $2,900,000.00 from investors. Civil Action No. 1:21-CV-10908 (D. Mass June 1, 2021). According to the…

Kimberly Pine Kitts of Palmer Massachusetts a stockbroker formerly registered with Royal Alliance Associates Inc. is the subject of a customer initiated investment related complaint which was resolved for $232,761.77 in damages on October 17, 2019 based upon accusations that the customer had been defrauded by the stockbroker during the time that she was associated…

Steven Pagartanis of Seatauket New York a stockbroker formerly registered with Cadaret Grant Co. Inc. has been barred by United States Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with securities broker dealers or investment advisories as Pagartanis pleaded guilty to conspiracy to commit mail and wire…

Masood Husain Azad (also known as Mike Azad) of League City Texas a stockbroker formerly registered with First Allied Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon allegations of negligence and breach of contract relating to investments in Direct…

Jeremy Taylor Johnson of Murrieta California a stockbroker formerly registered with Torch Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity given findings of Johnson refusing to cooperate with FINRA’s investigators when he was under investigation for possible sales practice violations including misrepresentation and unsuitability. Letter of…

Jeffrey William Fitz of Short Hills New Jersey a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related written complaint on June 5, 2020 where the customer sought compensatory damages founded on accusations that misrepresentations had been made to the customer by Fitz concerning investment…

Mark Joseph Boucher of Carlsbad California a former stockbroker of Raymond James Financial Services and former investment adviser representative of SCF Investment Advisors Inc. has been charged by Securities and Exchange Commission (SEC) with engaging in a fraudulent scheme during the period that he controlled Strategic Wealth Advisors Group (SWAG). Securities and Exchange Commission v….

Gerald John Cocuzzo (also known as Jerry Cocuzzo) of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $208,287.00 in damages based upon allegations of unsuitable stock trading by Cocuzzo while he was registered with Newbridge Securities…

Daniel M. Soliman of New York New York a stockbroker formerly registered with Traderfield Securities Inc. has been referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $500,000.00 in damages supported by accusations that misrepresentations had been made to the Traderfield Securities customer and that they had been defrauded…

Joseph Francis Valdini of Melville New York a stockbroker formerly registered with Worden Capital Management LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $1,000,000.00 in damages supported by accusations of fraud and negligent supervision pertaining to Valdini’s over-the-counter equities transactions at Worden Capital Management LLC….

Gary Wayne Hammond of Charlotte North Carolina a stockbroker formerly registered with Hornor Townsend Kent Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he was selling away from MML Investors and that he referred customers to fraudulent investments. Letter of Acceptance Waiver…

Craig Anthony Zabala of Harlem New York a stockbroker formerly registered with John W. Loofbourrow Associates and CEO of Concorde Group Holdings has been charged by Securities and Exchange Commission (SEC) with making misrepresentations to investors and misappropriating their funds. Securities and Exchange Commission v. Craig A. Zabala et al. Case No. 1:20-cv-07880 (Sept. 24,…

Richard Guy Duncan (also known as Rick Duncan) of East Longmeadow Massachusetts an investment adviser representative of Ausdal Financial Partners Inc. is the subject of a customer initiated investment related written complaint on July 20, 2020 where the customer requested $405,045.00 in damages based upon allegations that the customer had been placed into unsuitable securities…

Anthony Matthew Cottone of Boca Raton Florida a stockbroker formerly registered with Landolt Securities Inc. is referenced in a customer initiated investment related arbitration claim where the customer requested $260,000.00 in damages supported by allegations of the customer’s assets being overconcentrated in private placements and allegations of transactions not being supervised by Landolt Securities. Financial…

Samuel Frederik Lek of New York New York the Chief Executive Officer of Lek Securities Corp is the subject of a customer initiated investment related arbitration claim where the customer requested $2,804,880.05 in damages supported by allegations that the customer’s account lacked supervision and that the customer’s funds had been misappropriated. Financial Industry Regulatory Authority…

Daniel Benjamin Vazquez Sr. (also known as Dan Vasquez Senior) of Irvine California a stockbroker formerly registered with Cetera Advisors LLC is the subject of Securities and Exchange Commission (SEC) administrative proceedings in which the regulator will determine whether to bar Vazquez as a stockbroker or investment adviser representative among other capacities founded on allegations…

Richard Lyndon Brown of Farmingdale New York a stockbroker formerly registered with Arive Capital Markets and Chelsea Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Brown neglected to cooperate with a FINRA Arbitration Award where he was ordered to pay a…

Kerri Lynn Wasserman of New York New York a stockbroker and former President of Portfolio Advisors Alliance has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with any securities broker dealer or investment advisory according to an Order based on findings of Wasserman defrauding…

Thomas Joseph Buck of Indianapolis Indiana a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith is referenced in a customer initiated investment related arbitration claim where the customer requested unspecified damages supported by accusations that investment recommendations made to the customer were not suitable and that the customer had been charged excessive commissions relating…

First Clearing LLC (now known as (Wells Fargo Clearing Services LLC) has been censured and fined $300,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that First Clearing provided 6,800 customers with wrong valuations on direct participation program interests and non-traded real estate investment trusts and had failed to supervise its business with a…

Patrick Brian Horsman of Bay Harbor Islands Florida a stockbroker registered with Blue Sand Securities LLC has been terminated by the securities broker dealer on October 9, 2020 based upon allegations of fraud and misrepresentation as well as unjust enrichment by the stockbroker as referenced in a compliant. Financial Industry Regulatory Authority (FINRA) Public Disclosure…

A FINRA arbitration panel from New York issued an award dated July 10, 2017, in favor of customer Timothy McLaughlin against Northeast Securities, Inc., and three of its employees, Steven Joseph Perrone, Diane Hawkins and Jonathan Michael Zucker. Northeast Securities and the three employees were all named as respondents in the claim.  FINRA Arbitration No….

Lawrence John Fawcett Jr. (also known as Larry Fawcett Jr.) has been named in a customer initiated investment related arbitration claim where the customer was awarded $35,663.00 in compensatory and punitive damages founded on a FINRA Arbitrator finding Fawcett liable on the customer’s causes of action including breach of fiduciary duty and fraud as it…

Lynn Dale Cawthorne of Shreveport Louisiana a stockbroker formerly registered with Cambridge Investment Research Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Decision and Order of Offer of Settlement containing findings of Cawthorne failing to comply with FINRA during an investigation concerning Cawthorne’s…

Jeffrey Clay Templeman of Norfolk Virginia a stockbroker currently registered with Wells Fargo Advisors has been referenced in a customer initiated investment related written complaint on March 15, 2019 where the customer requested unspecified damages founded on allegations that the customer had been steered by Templeman towards investing in mutual funds without being provided clarity…

David Todd Phillips (also known as Todd Phillips) of Gilbert Arizona a stockbroker formerly registered with Moloney Securities Co. and ProEquities Inc. has been fined $5,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in private securities transactions involving…

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…

Randy Lee Birkinbine of North Oaks Minnesota a stockbroker currently registered with Ausdal Financial Partners Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $109,000.00 in damages based upon allegations of illiquid and unsuitable investments including private placements and real estate securities which led to an over-concentration in…

Jay Allan Ambroson of Garden City New York a stockbroker formerly registered with Gould Ambroson Associates Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $525,000.00 in damages founded on accusations of conversion and the breach of a fiduciary duty by Ambroson which caused the customer’s losses. Financial Industry…

Vincent James Mazza of Jersey City New Jersey a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $400,000.00 in damages supported by allegations that unauthorized over-the-counter equities trades were effected in the customer’s account during the time that Mazza was associated…

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…

Eric Steven Smith of Troy Michigan the founder and Chief Executive Officer of Consulting Services Support Corporation (the parent company of CSSC Brokerage Services Inc.) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA National Adjudicatory Council Decision containing findings that misrepresentations had been…

Dennis Patrick Thurman of Sioux Falls South Dakota a stockbroker registered with First Allied Securities and investment adviser representative of Arete Wealth Management LLC is identified in a customer initiated investment related complaint on March 15, 2019 in which the customer sought $11,997.97 in damages supported by accusations that a contract had been breached and…

Jeffrey Allan Broten of Morristown New Jersey a stockbroker formerly registered with First Standard Financial Co. LLC and National Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages based upon allegations that over-the-counter equities transactions effected in the customer’s account by the stockbroker failed…

Sean Joseph Kelly of Marietta Georgia a stockbroker formerly registered with Center Street Securities is the subject of a customer initiated investment related arbitration claim in which the customer requested $225,000.00 in damages based upon accusations of unsuitable alternative investments being sold to the customer during the period that Kelly was associated with Center Street…

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…

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…

Murray Todd Petersen (also known as M. Todd Petersen) of Roseville California a stockbroker formerly employed by SCF Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $960,000.00 in damages founded upon accusations of the breach of fiduciary duty and fraud as it pertained to an outside…

Steven Ellsworth Larson of Saint Louis Missouri a stockbroker formerly employed by Oakbridge Financial Services has been issued a Decision by Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council in which he has been barred from associating with any FINRA member in any capacity supported by findings that he defrauded investors. Department of Enforcement v….

Giustino DeStefano (also known as Justin Antonio DeStefano) of Williamsville New York a stockbroker formerly employed by Merrill Lynch and Securities America is the subject of a customer initiated investment related arbitration claim which was settled for $485,000.00 in damages supported by allegations of elder abuse and the violation of California Securities Act. Financial Industry…

Kevin Joseph Kuhlow (also known as Kevin J. Cullen) of Los Gatos California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint which was settled for $60,000.00 on January 10, 2019 founded on accusations that the customer had been invested by Kuhlow in worthless unregistered securities….

Gregory Roy Tucker of Des Moines Iowa a stockbroker currently employed by DA Davison Co. is referenced in a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages supported by accusations that the customer had been provided unsuitable investment advice from Tucker during the period in which he was associated with…

Thomas Von Reckers (also known as Tom VonReckers) of Lakewood Colorado a stockbroker formerly employed by Wells Fargo Advisors Financial Network is referenced in a customer initiated investment related arbitration claim which was settled for $90,000.00 in damages founded on accusations that a fiduciary duty that was owed to the customer had been breached and…

Geoffrey Garratt of New York New York a stockbroker formerly employed by National Securities Corp is the subject of a customer initiated investment related arbitration claim where the customer was awarded $58,573.10 in damages based on Garratt being found liable on the customer’s causes of action including fraud and the breach of a fiduciary duty…

John Alexander Tarpinian of New York New York a stockbroker formerly employed by Paulson Investment Company LLC and Newport Coast Securities Inc. has been identified in a customer initiated investment related arbitration claim which was resolved for $23,000.00 in damages founded on accusations that between February of 2013 and March of 2019, a fiduciary duty…

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…

Kevin Richard Wilson of New York New York a stockbroker formerly associated with Laidlaw Company (UK) Ltd. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $1,600,000.00 in damages supported by allegations that the customer had been placed into unsuitable private placements from 2011 to 2017 during the…

Alvery Anthony Bartlett Jr. of Saint Louis Missouri a stockbroker formerly employed by Berthel Fisher Company Financial Services has been identified in a customer initiated investment related arbitration claim where the customer sought more than $5,000.00 in estimated damages founded on accusations that customers were placed into unsuitable alternative investments and that Berthel Fisher’s negligence…

Scott Robert Steinhorst of Hartland Wisconsin a stockbroker formerly associated with Wintrust Investments LLC has been referenced in a customer initiated investment related complaint in which the customer requested $15,187.72 in damages supported by allegations that the customer had been placed into inappropriate structured certificates of deposit given the long maturities on those products. This…

Donald Joseph Fowler of Rockville Center New York a stockbroker formerly registered with Worden Capital Management is referenced in an Order Instituting Administrative Proceedings by Securities and Exchange Commission (SEC) in which the regulator is determining whether to permanently bar Fowler from being a stockbroker or investment advisor representative given findings of Fowler violating federal…

Nordo Mauro Nissi III of Boston Massachusetts a stockbroker formerly registered with Morgan Stanley is referenced in a customer initiated investment related arbitration claim in which the customer sought $500,000.00 in damages supported by allegations that fraudulent misrepresentations and omissions had been made relating to the customer’s investments and that the customer was defrauded during…

Eric Juan Stubbe Arsuaga of Dorchester Massachusetts a stockbroker formerly employed by Santander Securities LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $82,500.00 in damages based upon allegations that the customer had been placed in common and preferred stock and mutual funds among other investments that failed…

Charles Thomas Stevens of Saint Augustine Florida a stockbroker formerly registered with DH Hill Securities LLLP is referenced in a customer initiated investment related arbitration claim which was resolved for $35,000.00 in damages supported by allegations that negligence and the breach of an investment agreement resulted in the customer’s losses on alternative investments sold by…

Kevin Donald Wanner of Bismarck North Dakota a stockbroker formerly employed by Questar Capital Corporation has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor representative or otherwise associating with a securities broker dealer or investment advisor representative according to an Order pertaining to findings of Wanner defrauding investors….

On July 24, 2020, the United States Securities & Exchange Commission filed an action in the United States District Court of the Southern District of Florida, for Fraud in Violation of Section 10(b) and Rule 10b-5(a) of the Exchange Act, Fraud in Violation of Section 10(b) and Rule 10b-5(b) of the Exchange Act, Violation of…

John William Carroll of Maumee Ohio a stockbroker formerly employed by Berthel Fisher Company Financial Services has been identified in a customer initiated investment related written complaint on May 13, 2020 where the customer sought more than $5,000.00 in damages founded on accusations that the customer had been placed into illiquid alternative investments including oil…

E. Herbert H. Hafen (also known as Elias Herbert Hafen and as Elias Herbert Niggebrugge) of New York New York a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been barred from being a stockbroker or an investment adviser representative according to a Securities and Exchange Commission (SEC) Order based on findings of…

Kurt Anthony Stein of New York New York a stockbroker formerly employed by National Securities Corporation has been identified in a customer initiated investment related arbitration claim where the customer sought $35,000.00 in damages founded on accusations that misrepresentations were made to the customer by Stein concerning direct participation program interests or limited partnership interests…

Mark Fredrick Augusta of Del Mar California a stockbroker formerly associated with Wedbush Securities Inc. has been referenced in a customer initiated investment related arbitration claim which was settled for $25,000.00 in damages supported by allegations that the customer had been defrauded and that misrepresentations and omissions had been made in regard to the customer’s…

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…

Mitchell Toby Yanow of Boca Raton Florida a stockbroker formerly associated with Stifel Nicolaus Company Incorporated has been barred from being a stockbroker or investment adviser representative or otherwise associating with any securities broker dealer or investment advisory according to an SEC Order based on Yanow pleading guilty to wire fraud. In the Matter of…

Jefferey William Dyra of Naperville Illinois a stockbroker formerly associated with Bankers Life Securities Inc. has been referenced in a customer initiated investment related written complaint on November 21, 2019 in which the customer requested $47,000.00 in damages supported by allegations that unauthorized transactions were facilitated in the customer’s account. The complaint alleges that the…

Yousuf Saljooki (also known as Joseph Saljooki and as Joe Saljooki) a stockbroker formerly registered with SW Financial (Salomon Whitney Financial) is the subject of a customer initiated investment related arbitration claim in which the customer requested $97,292.27 in compensatory damages and unspecified punitive damages based upon allegations that the customer had been defrauded by…

Sandlapper Securities LLC as well as Trevor Lee Gordon (chief executive officer) and Jack Charles Bixler (vice-present) were handed down a Decision from Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council which affirmed an Extended Hearing Panel’s findings of Sandlapper, Gordon and Bixler’s fraudulent activities and breach of fiduciary duty with respect to saltwater disposal…

Lazaro Armando Fernandez Paredes of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities is the subject of a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages based upon accusations that the customer had been placed into fraudulent closed end funds and municipal debt investments during the time that Paredes…

Michael Harvey Siva of Morristown New Jersey a stockbroker formerly registered with Morgan Stanley has been barred from being a stockbroker or an investment adviser representative or otherwise associating with any securities broker dealer or investment advisory according to a Securities Exchange Commission (SEC) Order based on Siva pleading guilty to conspiracy to commit securities…

Rodger Sprouse of Lee’s Summit Montana a stockbroker currently associated with Titan Securities has been referenced in a customer initiated investment related written complaint which was settled for $43,000.00 on April 6, 2020 supported by allegations that the customer had been placed into a fraudulient structured cash flow product by Sprouse in 2018 during the…

Andrew Vincent LaBarbera of Dix Hills New York a stockbroker formerly employed by Titus Rockefeller LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $23,793.00 in damages founded on accusations that the customer’s account was churned and that a fiduciary duty that was owed to the customer had…

Thomas Duggan of Melville New York a stockbroker currently employed by Aegis Capital Corp has been identified in a customer initiated investment related arbitration claim where the customer sought $1,079,155.08 in damages founded on accusations of elder abuse relating to the customer’s investments between 2017 and 2019 while Duggan was employed by Aegis Capital Corp….

William Andrew Hightower (also known as Bill Hightower) of Houston Texas a stockbroker formerly employed by Legacy Asset Securities Inc. has been barred from being a stockbroker or an investment adviser representative or otherwise associating with any securities broker dealers or investment advisories according to an SEC Order based on Hightower pleading guilty to fraud….

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