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…
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…
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…
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…
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…
Jonathan Michael Turner of Hershey, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Turner’s participation in private securities transactions when he was registered with Ameriprise Financial Services. Letter of Acceptance, Waiver,…
Stephen Spencer Gladstone of New York, New York, a stockbroker formerly registered with Liberty Associates Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity, supported by findings that Gladstone failed to cooperate with FINRA when he was under investigation for a private securities transaction. Letter of Acceptance,…
David Robert McDonnell (also known as Dave McDonnell) of Laguna Beach, California, 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 supported by findings that he failed to comply with FINRA’s investigation centered on allegations of McDonnell’s potential private…
Michael Joseph Giannetti of McKinney, Texas, a stockbroker formerly registered with MML Investors Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not comply with the request FINRA made during its investigation into his potential outside business activities while registered…
Scott Wayne Reed of Scottsdale, Arizona, a stockbroker formerly registered with First Financial Equity Corporation, is referenced in a customer initiated investment related written complaint on September 15, 2021, where the customer sought compensatory damages based upon accusations of the customer being recommended unapproved outside investments by Reed when he was associated with Wells Fargo…
Bentley Edward Blackmon of Little Rock, Arkansas, a stockbroker formerly registered with securities broker dealer, Stephens, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Blackmon engaged in private securities transactions while he was associated with Stephens. Letter…
Donovan Thomas Kelly of Billings, Montana, a stockbroker currently registered with Independent Financial Group, has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Kelly engaged in private securities transactions when he was registered with Independent Financial Group. Letter…
Paul Ronald Koch of Wayzata, Minnesota, a stockbroker formerly registered with RBC Capital Markets LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA while he was under investigation for allegedly making unsuitable investment recommendations and diverting funds…
Andrew Benjamin Edenbaum of Aventura Florida, a stockbroker formerly registered with National Securities Corporation, 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 Edenbaum participated in private securities transactions while he was registered with National Securities Corporation. Letter…
Michael Walter Mandel of Upper Saddle River, New Jersey, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions while he was associated with Royal…
Carl Wade Thomason, of Overland Park, Kansas, a stockbroker formerly registered with OFG Financial Services Inc., 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 a FINRA investigation concerning accusations of his outside business activities. Letter of Acceptance, Waiver,…
Robert Jonathan Spencer, of Cheektowaga, New York, a stockbroker formerly registered with Cetera Advisor Networks 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 a FINRA investigation regarding allegations of his private securities transactions when he was employed…
Tarek Mohsen Mohamed, of Clearwater, Florida, a stockbroker formerly registered with Bankers Life Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on FINRA Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Mohamed failed to cooperate in a FINRA investigation relating to…
Michael Murray Knittel (also known as Michael M. Lopez-Knittel), of El Dorado Hills, California, a stockbroker formerly registered with Fortune Financial Services Inc., has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Knittel’s selling away or engaing in…
Francis Cid (also known as Frank Cid), of Little Neck, New York, a stockbroker formerly registered with CBC Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to cooperate with FINRA’s investigation into accusations of Cid’s private securities transactions when…
Steven Douglas Schisler, of Grass Valley, California, a stockbroker formerly registered with IFS Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement. Disciplinary Proceeding No. 2018058718601 (January 31, 2022). FINRA found that Schisler engaged in nine separate sales practice…
Nicholas Richard Palumbo (also known as Nick Palumbo), of Armonk, New York, a stockbroker formerly registered with Park Avenue Securities LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $220,000.00 in damages supported by accusations of omissions and misrepresentations by Palumbo relating to a variable annuity that…
Christopher T. Joseph, of Toledo, Ohio, a stockbroker formerly registered with Royal Alliance Associates Inc., has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions and outside business activities when he was employed…
Sean Donovan Casterline (also known as Sean Donavan Casterline), of Maitland, Florida, a stockbroker formerly registered with Delta Securities Company, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unauthorized private securities transactions while he was employed by…
Tarek Mohsen Mohamed, of Clearwater, Florida, a stockbroker formerly registered with Bankers Life Securities Inc., has been charged by Financial Industry Regulatory Authority with failing to cooperate with a FINRA investigation concerning accusations of Mohamed’s involvement in an undisclosed outside business activity while registered with Bankers Life Securities. Department of Enforcement v. Tarek Mohsen Mohamed…
Brandon Carl Rudolph, of Las Vegas, Nevada, a stockbroker formerly registered with Chelsea Financial Services, is the subject of a customer initiated investment related written complaint on November 1, 2021, in which the customer requested $96,500.00 in damages supported by allegations of Rudolph engaging in private securities transactions including a promissory note sale when he…
Merrill Lynch Pierce Fenner Smith Inc., a securities broker dealer headquartered in New York, New York, has been censured and fined $1,200,000.00 by Financial Industry Regulatory Authority (FINRA), founded on findings that it failed to comply with FINRA during two misconduct investigations. Letter of Acceptance, Waiver, and Consent No. 2018058015702 (December 20, 2021). According to…
Johan Manuel Pereira, of Beverly, Massachusetts, a stockbroker formerly registered with Wells Fargo Clearing Services LLC, has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in undisclosed outside business activities relating to Bitcoin. Letter of Acceptance,…
Gaetano Salvatore Ciambriello, of New York, New York, a stockbroker formerly registered with Citigroup Global Markets Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Ciambriello failed to cooperate with a FINRA investigation regarding allegations that he engaged in undisclosed outside business activities…
Kevin Mark Nevin, of Edina, Minnesota, a stockbroker formerly registered with Dempsey Lord Smith LLC and Sandlapper Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to comply with FINRA’s requests for information in 2021 regarding the non-payment of a…
Aaron Douglas Maurer (also known as Doug Maurer), of White Plains, New York, a stockbroker formerly registered with Ascendant Alternative Strategies LLC, has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unapproved private securities transactions…
Kevin John Kane, of York, PA, a stockbroker formerly registered with Waddell Reed, was discharged on February 23, 2021, based upon accusations of Kane violating Waddell Reed’s policies by engaging in undisclosed outside business activities and unauthorized communications to investors. Kane has been identified in four customer initiated investment related disputes concerning allegations of his…
Rodney Deleths Washington (also known as RD Washington), of New Albany, Ohio, a stockbroker formerly registered with UBS Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to cooperate with a FINRA investigation concerning accusations of his outside business…
William Walter LeBoeuf (also known as Bill LeBoeuf), of Beavercreek, Ohio, a stockbroker formerly registered with Cetera Advisor Networks LLC and Merrill Lynch Pierce Fenner Smith Inc., has been fined $12,500.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged…
Larry Allen Bowman (also known as Larry Bowman), of Malvern, Pennsylvania, a stockbroker formerly registered with Heritage Financial Systems Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in undisclosed outside business activities when he was employed by…
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 requested $90,000.00 in damages based upon allegations of Genito failing to pay on a promissory note that he issued to the customer relating to…
Rhett Douglas Bedwell, of Rogers, Arizona, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint which was settled for $19,848.26 in damages on September 23, 2021, based upon allegations of the misuse of the customer’s funds during the time that he was registered with LPL Financial…
Caroline Mohan (also known as Caroline Reyes), of West Palm Beach, 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 based upon findings that she failed to cooperate with a FINRA investigation into allegations of her private securities transactions…
Murray Todd Petersen (also known as Todd Petersen), of Roseville, California, a stockbroker formerly registered with SCF Securities Inc. and WFG Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in outside business activities and private securities transactions. Letter of…
Tyrone Maurice Smiles, of Newark, New Jersey, a stockbroker formerly registered with Prudential Investment Management Services LLC (PIMS), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in outside business activities while registered with Prudential Investment Management Services and provided misleading and…
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 where the customer sought compensatory damages based upon allegations that they were placed into unsuitable “private placements” during the time that Levine was registered with Morgan Stanley Smith…
John Lee Scott, of Phoenix, Arizona, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with the regulator during the time that he was under investigation for engaging in outside business activities…
Michael Earl Reither, of Saint Louis, Missouri, a stockbroker formerly registered with First Allied Securities Inc., has been fined $10,000.00 and barred by the State of Missouri from being a stockbroker or an investment adviser representative according to an Order containing findings that Reither borrowed from a customer without authorization from First Allied Securities and…
Brian Stanley Pearce of Winter Haven Florida a stockbroker formerly registered with FSC Securities Corporation has been fined $5,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Pearce engaged in private securities transactions without getting approval from FSC Securities Corporation. Letter…
Judith Ann Bufis (also known as Judith Ann Burmistrenko) of East Brunswick New Jersey, a stockbroker formerly registered with Invest Financial Corporation and Kovack Securities Inc., was issued an Order by New Jersey Bureau Securities revoking her registration as a stockbroker. In the Matter of Judith Bufis Summary Revocation Order (August 25, 2020). New Jersey…
Abdul Matin Rahmani of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officer’s Order Accepting Offer of Settlement containing findings that Rahmani engaged in outside business activities which…
Glenn Edward Brandon Jr. of Birmingham Alabama, a stockbroker formerly registered with BBT Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply with an investigation concerning allegations of his outside business activities in violation of FINRA rules. Letter…
Arthur Stewart Hoffman (also known as Art Hoffman) of Glendale Arizona a stockbroker formerly registered with Ameriprise Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $358,183.00 in damages founded upon accusations of them being placed into Zima Digital Assets because of Hoffman’s unsuitable investment…
Murray Todd Petersen (also known as Todd Petersen) of Roseville California a stockbroker formerly registered with SCF Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $77,500.00 in damages supported by accusations of breach of fiduciary duty and fraud as it pertained to an outside…
William A. Fochi Jr. (also known as Bill Fochi Jr.) of Glastonbury Connecticut a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in outside business activities…
Edgar A. Kleydman of Brooklyn New York a stockbroker formerly registered with AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA during its investigation into his alleged private securities transactions while registered with AXA Advisors….
Marceliano Macias of Hollywood Florida a stockbroker formerly registered with Transamerica Financial Advisors Inc. has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that he engaged in undisclosed outside business activities during the time that he was associated with…
Lee Bryan Taylor of Skippack Pennsylvania a stockbroker formerly registered with Purshe Kaplan Sterling Investments (PKS) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Taylor failed to cooperate with FINRA’s investigation concerning his possible private securities transactions while associated with Purshe Kaplan Sterling…
William Joseph Kielczewski (also known as Bill Kielczewski) of Toledo Ohio a stockbroker formerly registered with The Huntington Investment Company has been fined $50,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on a FINRA National Adjudicatory Council Decision containing findings that Kielczewski engaged…
Deborah Lynn Herrmann (also known as Debbie Lynn Gniech) of Wheaton Illinois 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 she did not fully comply with FINRA’s investigation into her potential nondisclosure of a…
John Matthew Izzo of Williamsville New York a stockbroker formerly registered with Allstate Financial Services has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Izzo engaged in outside business activities without permission and had falsified information in compliance…
Athanasios Tomaras (also known as Thanasi Tomaras) of Oldsmar Florida a stockbroker currently registered with RF Lafferty Co. Inc. has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Tomaras failed to identify outside business activities for RF Lafferty…
Kerry Lee Hoffman of Mundelein Illinois a stockbroker formerly registered with LPL Financial LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative and barred from associating with securities firms across the country according to an Order based on allegations of Hoffman violating securities laws relating to…
Garrett Scott Neubart of New York New York a stockbroker formerly registered with Deutsche Bank Securities Inc. has been suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Neubart took part in outside business activities that were not disclosed or otherwise approved by…
Jorge Antonio Netto of Coral Gables Florida a stockbroker currently registered with Boreal Capital Securities LLC (formerly known as Mora WM Securities Inc.) has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities that were not authorized and which involved a customer of the securities broker dealer…
Andes Capital Group LLC a securities broker dealer headquartered in Chicago Illinois has been censured and fined $15,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that Andes Capital Group failed to supervise its stockbroker’s private securities transactions. Letter of Acceptance Waiver and Consent No. 2019064979901 (Aug. 25, 2021). According to the AWC, in…
David Richard Geake of Northbrook Illinois a stockbroker currently registered with American Trust Investment Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages supported by accusations that Geake breached a fiduciary duty and placed the customer into securities that were not suitable for them…
Dale Allen Ramsperger of Scottsdale Arizona a stockbroker formerly registered with Securities America Inc. has been suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Ramsperger took part in private securities transactions that were not authorized by Securities America Inc. Letter of Acceptance…
Nancy Ann Munro Gaumer (also known as Nancy Ann Munrogaumer) of Media Pennsylvania a stockbroker registered with Signator Investors Inc. and BestVest Investments Ltd. has been fined $7,500.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Gaumer failed to report that…
Thomas Ward Stratton of Melbourne Florida a stockbroker formerly registered with World Choice Securities Inc. has been barred from associating with any FINRA member in any capacity supported by findings that Stratton failed to comply with the regulator during the period that he was under an investigation relating to his sale of promissory notes and…
Paul Wescoe Smith of Wayne Pennsylvania a stockbroker formerly registered with Bolton Global Capital is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $85,000.00 in damages founded on accusations of the customer’s assets being misappropriated in regard to a fraudulent enterprise known as Haverford Group. Financial Industry…
John Mark Ross of Missoula Montana a stockbroker formerly registered with US Bancorp Investments Inc. is the subject of a customer initiated investment related written complaint which was resolved for $127,210.30 in damages on January 9, 2019 founded on allegations of unauthorized trading by Ross while he was associated with Wells Fargo Advisors. According to…
David James Williams of Rochester New York a stockbroker formerly registered with Allstate Financial Services has been fined $7,500.00 and suspended for 3.5 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Williams engaged in outside business activities while he was associated with Allstate Financial Services….
Gerald Lee Brodsky of New York New York a stockbroker formerly registered with Dinosaur Financial Group LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $800,000.00 in damages based on accusations that the customer was placed into Concord Group Holdings through a private placement offering and that…
Frank Vincent Sapareto of Derry New Hampshire a stockbroker formerly registered with Advisory Group Equity Services Ltd. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Sapareto engaged in an undisclosed outside business…
Adam S. Feierstein of Redondo Beach California a stockbroker formerly registered with Woodbury Financial Services Inc. is the subject of a customer initiated investment related complaint in which the customer requested more than $5,000.00 in damages supported by accusations of misrepresentations as it pertained to a variable annuity purchased by them when Feierstein was associated…
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…
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…
Jason C. LaBelle of Pittsfield Massachusetts a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply with FINRA when he was under investigation for violating the terms of a 2020 disciplinary action against…
Robert Cameron Smith (also known as Rob Smith) of New York New York the Chief Executive Officer, Chief Compliance Officer and Board Member of IVC Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to comply with a FINRA investigation…
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 Francis O’Reilly of Port Jefferson New York a stockbroker formerly registered with TOR Brokerage LLC and Eastgate Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he refused to testify about accusations of his possible outside business activities and private securities…
Perry De Leeuw (also known as Perry Lynn De Leeun and as Perry Lynn Deleeuw) of Duluth Georgia a stockbroker formerly registered with PFS Investments Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $152,715.00 in damages based on accusations of the customer incurring damages after providing…
Adam Petersen Summers of Crown Point Indiana a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested compensatory damages founded on allegations that Summers made unsuitable recommendations for the customer’s account at ETrade. Financial Industry Regulatory Authority (FINRA)…
Christian Murray Evans of Dallas Texas a stockbroker formerly registered with Morgan Stanley has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Evans did not get permission from Morgan Stanley regarding an outside business activity. Letter of Acceptance…
Clyde Warren Ford of Fresno California a stockbroker formerly registered with Kestra Investment Services LLC has been referenced in a customer initiated investment related civil action in which the customer obtained a judgement of $410,000.00 in damages based upon accusations of fraud relating to their purchase of Panthera. Civil Action No. 19CECG03981 (Oct. 8, 2020)….
Lawrence Moskowitz of Melville New York a stockbroker formerly registered with NYLife Securities LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in outside business activities while associated with NYLife Securities. Letter of Acceptance Waiver…
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…
Robert Lynn Mitchell of Frisco Texas a stockbroker formerly registered with Morgan Stanley Wealth Management has been discharged from employment on February 3, 2021 supported by allegations of the stockbroker being involving in undisclosed outside business activities during the time that he was associated with Morgan Stanley Wealth Management. Mitchell has been identified in four…
Scott S. Niekamp of Chesterfield Missouri a stockbroker currently registered with Northwestern Mutual Investment Services LLC 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 he failed to disclose outside business activities to Northwestern Mutual and had entered…
Carlos Arturo Hurtado (also known as Carl Arthurs and as Carlos Arthurs) of New York New York a stockbroker formerly registered with Spartan Capital Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to cooperate with a FINRA investigation into…
Nicholas Richard Palumbo of Armonk New York a stockbroker formerly registered with Park Avenue Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he did not provide any documents or information to FINRA when it investigated him for potentially selling away from…
Louis Paul Kreisberg of Brentwood Tennessee a stockbroker formerly registered with Wavecrest Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he neglected to comply with requests that FINRA made of him during the period that he was under investigation for potential…
Abdul Matin Rahmani of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities when he was associated with Joseph Stone, and with failing to be cooperative with FINRA during the time that he was…
Gilbert W. Cox of Concord New Hampshire a stockbroker formerly registered with Citizens Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Cox hindered a FINRA investigation into accusations of his outside business activities. Letter of Acceptance Waiver and Consent No. 2020066700601…
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…
Jason Howell Poff of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Poff engaged in outside business activities that were neither disclosed to nor approved by LPL…
Sharon Melinda Kwan (also known as Sharon Chen, Sharon Quan, My Mon Quan and as Mei Man Quan) of Arcadia California a stockbroker currently registered with Royal Alliance Associates is the subject of a customer initiated investment related written complaint on May 5, 2020 where the customer sought compensatory damages based upon accusations of misrepresentation…
Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to comply with an arbitration award or otherwise inform FINRA about his compliance. FINRA Arbitration No. 20-00245 (Aug….
Chander Ketu Goel of New York New York a stockbroker formerly registered with MML Investors Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Goel failed to provide information and documents to FINRA when it investigated him for potentially engaging in outside business…
Michael Joseph Dellaporta Jr (also known as Mike Dellaporta) a stockbroker formerly registered with Fusion Analytics Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he refused to hand over documents and information to FINRA when it investigated whether he engaged in…
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…
Ronald Patrick Cameron of Fayetteville Arkansas a stockbroker registered with International Assets Advisory and LPL Financial LLC has been fined $5,000.00 and suspended for five weeks from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in outside business activities. Letter of Acceptance Waiver and Consent…
Frederick Joseph Rock (also known as Frederick Joseah Rock) a stockbroker formerly registered with Pruco Securities LLC has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Rock engaged in private securities transactions involving customers of Pruco Securities. Letter…
Louis Maurice Olave of Burlington Vermont a stockbroker formerly registered with Questar Capital Corporation 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 he had been selling away. Letter of Acceptance Waiver and Consent No. 2020065678101 (Apr. 7,…