Selling Away and Outside Activities

Albert Lewis DeGaetano of Independence Ohio a stockbroker formerly registered with Cabot Lodge Securities LLC has been discharged on November 15, 2019 based upon allegations of him violating the firm’s directives as it related to private securities transactions. Cabot Lodge Securities also alleged that DeGaetano’s correspondence with the public violated firm policy. This is not […]

Frank Vincent Sapareto of Westport Connecticut a stockbroker formerly registered with Advisory Group Equity Services Ltd. is referenced in a Financial industry Regulatory Authority (FINRA) investigation in which the regulator determined that Sapareto should face disciplinary action for allegedly failing to be truthful during an investigation into his outside business activities. FINRA Investigation No. 20180603797 […]

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 […]

Tonya Nicole Smoake of Franklin Lakes New Jersey a stockbroker formerly registered with Purshe Kaplan Sterling Investments has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she engaged in private securities transactions during the period that she was […]

Rhett Douglas Bedwell of Rogers 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 founded on findings that he failed to comply with the regulator when he was being investigated for using forged documentation to transition a customer’s assets […]

Richard Scott Shelley (also known as Richard Scott Shelly) a stockbroker formerly registered with Packerland Brokerage Services Inc. has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions during the time that he […]

Ryan Owen Tarjanyi of Kettering Ohio a stockbroker formerly registered with Bankers Life Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not provide information to FINRA during the period that he was investigated for forgery and for falsifying documents relating […]

Mayur T. Dalal of New Hyde Park New York a stockbroker formerly registered with Kestra Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he neglected to provide recorded testimony to the regulator while under investigation for potentially engaging in private securities […]

Nedjeen Baptiste of Lantana Florida 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 based on findings that she failed to follow FINRA’s instructions during the period that she was under investigation for possibly violating FINRA rules on outside […]

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 […]

Jeffrey David Stanga of Mission Viejo California a stockbroker currently registered with FMN Capital Corporation has been fined $10,000.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to make known to FMN Capital Corporation that he engaged in outside […]

Bradley Allen Goodbred of Roselle Illinois 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 neglected to comply with a FINRA investigation into accusations of his outside business activities during the time that he was […]

James Blake Daughtry of Dothan Alabama a stockbroker formerly registered with Kestra Investment Services LLC is referenced in a customer initiated investment related civil action where the customer sought $231,752.00 in damages supported by accusations that they had been steered by Daughtry towards establishing investment accounts with an investment adviser who Securities Exchange Commission (SEC) […]

Stewart Irwin Schram of Northbrook Illinois a stockbroker formerly registered with Kingsbury Capital Inc. has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Schram engaged in outside business activities and private securities transactions during the time that he […]

Scott Wayne Reed of Scottsdale Arizona a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Reed taking part in $3,500,000.00 worth of private securities transactions during the time that he was associated with Wells […]

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 […]

Tyler Dean Delahunt of Atlanta Georgia a stockbroker formerly registered with Merrill Lynch has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to provide documents and information to FINRA when it investigated him for outside business activities and private securities transactions. Letter […]

Jasmit Singh of New York New York a stockbroker formerly registered with JP Morgan Securities 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 supported by findings that he engaged in outside business activities and private securities transactions without disclosing this […]

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 […]

CHARLOTTE, NC – The Guiliano Law Group, P.C. has filed a Statement of Claim against Northwestern Mutual Investment Services LLC on behalf of investors before the Financial Industry Regulatory Authority or FINRA seeking damages for fraud, the breach of fiduciary duty, the failure to supervise, negligence and in violation of the federal securities laws and […]

Jonathan H. Dudley of Atlanta Georgia a stockbroker formerly registered with Centaurus Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Dudley failed to comply with FINRA while he was under investigation for potentially misusing a customer’s funds. Letter of Acceptance Waiver and […]

Robert Leslie Mandau (also known as Bob Leslie Mandau) of Willoughby Hills Ohio a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Mandau engaged in outside business activities without […]

Lance Roman Armstrong of Columbia New Jersey a stockbroker formerly registered with Raymond James Financial Services has been issued an Order by New Jersey Bureau of Securities on September 17, 2020 in which Armstrong’s stockbroker registration in New Jersey has been revoked founded on allegations that he neglected to obtain authorization from Raymond James to […]

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 […]

Jason Howell Poff of Houston Texas a former stockbroker and investment adviser representative of LPL Financial LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities that were not approved by the securities broker dealer. Department of Enforcement v. Jason Howell Poff Disciplinary Proceeding No. 2018058501502 […]

Rawad Roy Alame (also known as Roy Rawad Alame) of Raleigh North Carolina a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Alame selling away when he […]

Cetera Advisor Networks LLC, Cetera Advisors LLC and Cetera Financial Specialists LLC have been censured and collectively fined $1,000,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings of the securities firms’ failure to supervise their stockbrokers’ private securities transactions and failure to preserve records relating to those outside transactions. Letter of Acceptance Waiver and […]

Michael Anthony Tavel of Indianapolis Indiana a stockbroker formerly registered with LPL Financial LLC has been fined $20,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Tavel selling away from LPL Financial and making unsuitable investment recommendations while registered with the […]

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 […]

Andre Pierre Senegal of Tinley Park Illinois a stockbroker formerly registered with NYLife Securities LLC is the subject of a customer initiated investment related written complaint on November 11, 2020 where the customer requested $15,000.00 in damages based upon accusations that the customer did not receive any information relating to money that they provided to […]