Doug Marshall McKelvey of Southlake, Texas, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that McKelvey refused to cooperate with a FINRA investigation into allegations of McKelvey’s possible misappropriation and unauthorized transactions. Letter of Acceptance, Waiver, and…

Amanda Yvonne Berry (also known as Amanda Yvonne Coleman and as Amanda Yvonne Oostrum) of Oklahoma City, Oklahoma, a stockbroker formerly registered with MML Investors Services LLC, is the subject of a customer initiated investment related complaint that was settled on May 27, 2022, for $82,967.79 in damages based upon accusations that Berry made unsuitable…

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…

Kenneth Andrews Welsh of Fairfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,857,001.59 in damages based upon allegations of unsuitable indexed annuity contracts for the customer when Welsh was associated with Wells Fargo Advisors. Financial…

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. FINRA Public…

Kristian M. Gaudet of Cut Off, Louisiana, a stockbroker formerly registered with Ameritas Investment Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $450,000.00 in damages based upon accusations of negligence and breach of fiduciary duty while Gaudet was employed by Ameritas Investment Corp. Financial Industry…

Arieh Israel of New York, New York, a stockbroker formerly registered with NYLife Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Israel misappropriated customer funds. Letter of Acceptance Waiver and Consent No. 2020065370301 (June 23, 2021). According to the AWC, on June…

Peter J. Fetherston of New York, New York, a stockbroker formerly registered with Principal Securities Inc., has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint that alleges Fetherston’s misappropriation and conversion of funds belonging to two customers of Principal Securities. Department of Enforcement v. Peter J. Fetherston, Disciplinary Proceeding No. 2020065396501 (May…

John Scott Winslow of Gig Harbor, Washington, a stockbroker formerly registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Winslow failed to cooperate with a FINRA investigation concerning accusations of his failure to return funds provided to him from an…

Marianne Oshee Smith of Avon, Connecticut, a stockbroker formerly registered with Cetera Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she converted funds from elderly customers of Cetera Advisors. Letter of Acceptance, Waiver, and Consent No. 2021071670001 (April 5, 2022). According…

Dan Edward Droeg (also known as Dan Edwards Droeg) of Mesa, Arizona, a stockbroker formerly registered with United Planners Financial Services of America, a Limited Partner, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of conversion (misuse of investor funds) when Droeg was registered…

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…

Dan Edward Droeg (also known as Dan Edwards Droeg) of Mesa, Arizona, a stockbroker formerly registered with United Planners Financial Services of America, a Limited Partner, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of conversion (misuse of investor funds) when Droeg was registered…

Paul Warren Vizanko of Duluth, Minnesota, 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 allegations that Vizanko failed to respond to FINRA’s request for information regarding the borrowing and misappropriation of customer funds. Case No….

Anthony Glenn Hall of Dayton, Texas, a stockbroker formerly registered with Edward Jones, is referenced in a customer initiated investment related written complaint on December 18, 2020, in which the customer requested $300,000.00 in damages based upon accusations that funds were “improperly removed” from the customer’s account when Hall was registered with Edward Jones. The…

Joshua David Nicholas, of Stuart, Florida, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Nicholas converted a customer’s funds when he was associated with Merrill Lynch. Letter of Acceptance, Waiver, and Consent…

SagePoint Financial Inc., a securities broker dealer headquartered in Phoenix, Arizona, has been censured and fined $700,000.00 by Financial Industry Regulatory Authority (FINRA), supported by findings that SagePoint failed to supervise stockbrokers who were the subject of misconduct, and it failed to supervise its reporting of wrongdoing by those who associated with the securities broker…

Jesus Rodriguez, of El Paso, Texas, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with FINRA investigators regarding allegations of his misuse of a customer’s credit line. Letter of Acceptance, Waiver, and…

Keith Todd Ashley, of Ann Arbor, Michigan, a stockbroker formerly registered with Parkland Securities LLC, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with failing to comply with FINRA’s investigation, which focused on accusations of Ashley’s private securities transactions, outside business activities, and misappropriation of Parkland Securities customer funds. Disciplinary Proceeding…

Kenneth Andrews Welsh, of Fairfield, New Jersey, a stockbroker formerly registered with Wells Fargo Clearing Services, LLC, has been charged by Securities and Exchange Commission (SEC) with fraudulently misappropriating funds while he was associated with Wells Fargo Clearing Services. Civil Action No. 2:21-cv-19387 (Oct. 28, 2021). According to the Complaint, more than $2,860,000.00 had been…

Herbert H. Hafen (also known as Elias Herbert Hafen, Elias Niggebrugge, and E. Herbert Niggebrugge), of New York, New York, a stockbroker formerly registered with Morgan Stanley Smith Barney, is referenced in a customer initiated investment related written complaint which was settled for $20,000.00 in damages on October 13, 2020, based upon allegations of unsuitable…

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…

Eric Shea Hollifield of Dacula Georgia 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 did not cooperate with FINRA investigators during an investigation into his possible conversion of an elderly customer’s funds during the…

Ronald Scott Daley of West Chester Ohio a stockbroker formerly registered with WS Brokerage Services Inc. 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 the regulator’s investigation into allegations of his misuse of customer funds during the time…

Cynthia Diane Cowden (also known as Cynthia Case) a stockbroker formerly registered with NPB Financial Group LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $300,000.00 in damages based upon allegations of the violation of federal and state securities laws and the breach of a fiduciary…

William Jeffrey Michero (also known as Jeff Michero) of Fort Worth Texas a stockbroker formerly registered with Cambridge Investment Research has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he converted funds as a trustee. Letter of Acceptance Waiver and Consent No. 2021072162901 (Sept….

Kitwana Nkoski Thomas of Jacksonville Florida a stockbroker formerly registered with Fidelity Brokerage Services LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages founded upon allegations that Thomas provided unsuitable recommendations to them as it pertained to corporate debt investments during the time…

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 FINRA securities arbitration claim where the customer sought compensatory damages based upon accusations of Cohen selling unsuitable direct participation program interests and limited partnership interests during the period that he…

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…

Casey James Kemerly of Pennington Gap Virginia a stockbroker formerly registered with Edward Jones 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 when it investigated his termination from Edward Jones and his criminal charges from August of…

Leonard Voris Fox Jr. of Marlton New Jersey a stockbroker formerly registered with FSC Securities Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $150,000.00 in damages founded on accusations that the customer’s funds had been misappropriated and that Fox misled them during the time that…

Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly registered with BBVA Securities Inc. is referenced in an Arizona Corporation Commission Securities Division Order For Administrative Penalties and Order of Revocation where his stockbroker registration has been revoked based on Ortega being barred by a securities regulator. In the Matter of Adrian Torres…

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…

Jeffrey Scott Anderson of Bloomington Illinois a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Anderson converted a customer’s funds. Letter of Acceptance Waiver and Consent No. 2020067888701 (Aug. 2, 2021). According to the AWC, Anderson’s…

John Joseph Cahill of Upper Saddle River New Jersey a stockbroker formerly registered with Janney Montgomery Scott LLC is referenced in a New Jersey Bureau of Securities Summary Revocation Order in which his stockbroker and investment adviser representative registrations have been revoked based on him violating FINRA rules and the policies of Janney Montgomery Scott….

Christopher Lee Hibbard (also known as Chris Hibbard) of Louisville Kentucky a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been barred as stockbroker and as investment adviser representative according to a Securities and Exchange Commission (SEC) Order based on findings of Hibbard committing fraud. In the Matter of Christopher Lee Hibbard…

John Henry Swon IV of Bloomington Minnesota a stockbroker formerly registered with Royal Alliance Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he chose not to provide documents and information to FINRA when it investigated him for possibly misappropriating a customer’s…

Tyler Michael Rigsbee of Sacramento California 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 that Rigsbee refused to provide FINRA with documents and information in an investigation into his possible misuse of customer funds….

Ronald Joseph Giovino Jr. of Clearwater Florida a stockbroker formerly registered with GWN Securities 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 FINRA’s request when he was investigated for conversion of customer funds at GWN Securities. Letter…

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…

David Wayne Kraft of Palm Beach Gardens Florida a stockbroker formerly registered with Morgan Stanley is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $716,528.06 in damages founded on accusations that the customer’s funds had been “removed from their account without the customer’s authorization”  during the…

Edward Earl Matthes of Milwaukee Wisconsin a stockbroker formerly registered with Mutual of Omaha Investor Services has received a 63-month jail sentence based on him pleading guilty to violating federal securities laws as 27 victims had been defrauded in his $2,600,000.00 investment scheme. United States v. Edward E. Matthes 20-cr-0220-bhl (E.D. Wis. May 20, 2021)….

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….

Marcus E. Boggs of Chicago Illinois a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $44,731.77 in damages on October 21, 2020 founded on accusations of “unauthorized charges” in the customer’s account during the time that Boggs…

Matthew O. Clason of Glastonbury Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which settled for $1,000,000.00 in damages on February 22, 2021 based upon accusations that the customer’s assets had been converted by Clason between 2015 and 2020 while Clason…

Kenneth Joseph Heidelberger of Boca Raton Florida a stockbroker currently registered with Fifth Third Securities Inc. is referenced in a customer initiated investment related written complaint on March 7, 2020 in which the customer requested $10,000.00 in damages based upon accusations of a poorly performing unit investment trust being held in the customer’s account during…

Erin Lynn Verespy of Trumbull Connecticut a stockbroker formerly registered with HD Vest Investment Services has been issued a Cease and Desist Order by the Banking Commissioner of the State of Connecticut founded on allegations of Verespy engaging in outside business activities, failing to disclose lawsuits, and borrowing funds from a customer of HD Vest…

Chad T. Mackland of Council Bluff Iowa a stockbroker formerly registered with MML Investors Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Mackland neglected to provide information and documents to FINRA when it investigated him for accusations of fraud. Letter of Acceptance…

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….

Michael Barry Carter (also known as Mike Carter) of McClean Virginia a stockbroker formerly registered with Morgan Stanley has been fined $220,000.00 and barred by the State of Maryland from being a stockbroker or investment adviser representative supported by allegations that he defrauded investors. Case No. 2019-0176 (Dec. 15, 2020). According to the Consent Order,…

Mark Lewton Hopkins of Grand Blanc Michigan a stockbroker formerly registered with American Portfolios Financial Services has been charged by Securities and Exchange Commission (SEC) with misappropriating $1,150,000.00 from customers who held accounts at American Portfolios Financial Services. SEC v. Mark L. Hopkins Case No. 20-cv-11980 (July 24, 2020). According to the Complaint, in 2017,…

Shlomo Strugano (also known as Shlomy Strugano and as Solomon Strugano) of Reseda California a stockbroker formerly registered with First Allied Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $750,000.00 in damages supported by accusations of elder abuse and misappropriation. Financial Industry Regulatory Authority (FINRA)…

Dean Harrison Grant of Milledgeville Georgia a stockbroker formerly registered with M Holdings Securities Inc. is the subject of a customer initiated investment related written complaint on August 12, 2019 where the customer requested compensatory damages founded on accusations that the customer had not been apprised of important investment information from Grant when making an…

Sam Peter Paolini of New York New York a stockbroker formerly registered with Hornor Townsend Kent Inc. is the subject of a customer initiated investment related written complaint on November 13, 2020 where the customer requested $141,222.00 in damages supported by accusations that the customer had been told to buy a whole life insurance policy…

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…

James Vincent Marino of Pompano Beach Florida a stockbroker formerly registered with Edward Jones has been barred as a stockbroker and investment adviser representative by Securities and Exchange Commission (SEC) according to an Order that is based on Marino’s conviction of theft. In the Matter of James Vincent Marino Administrative Proceeding File No. 3-20061 (Sept….

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,…

Eugene Arthur Riggio Jr. of New York New York a stockbroker formerly registered with Score Priority Corp (formerly known as Whotrades Inc.) is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $10,000.00 in damages based upon allegations of unsuitable recommendations being made by the stockbroker as it…

Gerald Allan Eaton of Acton Massachusetts a stockbroker formerly registered with Commonwealth Financial Network has been barred in various capacities including stockbroker and investment adviser representative according to a Securities and Exchange Commission (SEC) Order based on findings of Eaton defrauding investors and stealing $3,700,000.00 from them. In the Matter of Gerald Allan Eaton Administrative…

Gregory Antonius Lewis of New York New York a stockbroker currently registered with Stockkings Capital LLC is referenced in a Financial Industry Regulatory Authority (FINRA) investigation regarding allegations of Lewis possibly misusing customer funds and effecting unsuitable transactions in customer accounts. Case No. 20190606487 (Dec. 16, 2019). FINRA Public Disclosure reveals that Department of Enforcement…

Najib Hossain Khan of Richmond Hill 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 founded on findings that Khan neglected to cooperate with FINRA personnel during the period that he was investigated for theft of customer…

David Alan Stateman of Miami Florida a stockbroker formerly registered with Allstate Financial Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not comply with FINRA personnel while he was under investigation for taking funds from a customer and for…

Barry Franklin Connell of Ridgewood New Jersey a stockbroker formerly registered with Morgan Stanley Smith Barney is referenced in a customer initiated investment related arbitration claim which was resolved for $1,350,000.00 in damages supported by allegations that the customer’s funds had been misappropriated by the stockbroker’s actions at Morgan Stanley. Financial Industry Regulatory Authority (FINRA)…

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…

Kathleen Marie Bott (also known as Kathy Bott) of Spokane Washington a stockbroker formerly employed by DA Davidson Co. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Bott neglected to comply with FINRA when she was under investigation for committing theft. Letter of…

David John Volpe of Scottsdale Arizona a stockbroker employed by First Financial Equity Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought more than $5,000.00 in damages founded on allegations that the customer’s funds had been converted by the stockbroker. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-02492…

Pratul Victor Agnihotri (also known as Pratol Victor Agnihotri) of Melville New York a stockbroker formerly registered with Aegis Capital Corp. and Spartan Capital Securities LLC has been fined $7,500.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Agnihotri engaged in…

Steven Dale Rodemer of Pueblo Colorado a stockbroker formerly registered with Stifel Nicolaus Company Incorporated is the subject of a Securities Exchange Commission (SEC) Administrative Order in which he has been barred from being a stockbroker or investment adviser representative and has been barred from being employed by any securities broker dealer or investment advisory…

Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings of Refsnider failing to cooperate with a…

Michael Joseph Clarke of Jersey City New Jersey a stockbroker formerly registered with MARV Capital Inc. and Tradition Asiel Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a National Adjudicatory Council Decision containing findings of Clarke’s conversion of investor funds and of his…

Brian Keith Decker of New York New York a stockbroker formerly registered with Legend Securities Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Decker failed to comply with a FINRA Arbitration Award in which he was ordered to compensate a customer who…

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…

Matthew O. Clason of Glastonbury Connecticut 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 upon findings that he did not honor FINRA requests which had been made during the time that he was under investigation for violating FINRA…

Roger Allan Duval of Bellevue Washington 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 founded upon findings that he converted funds belonging to three customers of the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2019062789901…

Andrew Markman Arthur (also known as Andy M. Arthur) of Summit New Jersey a stockbroker formerly employed by Guggenheim Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he converted investor funds and had provided false statements to FINRA. Letter of Acceptance Waiver…

Ramon Arturo Herrera of Jersey City New Jersey a stockbroker and financial advisor formerly registered with Wells Fargo Clearing Services LLC is the subject of a New Jersey Bureau of Securities Order dated October 18, 2019 in which Herrera’s stockbroker and investment adviser representative registrations in the State of New Jersey have been revoked based…

Jose Giraldo (also known as Tomas Giraldo) of Chula Vista California a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Giraldo neglected to cooperate with FINRA’s request for his information following the point in…

Adam Michael Lopez of Springfield Illinois a stockbroker formerly registered with Country Capital Management Company is the subject of a customer initiated investment related written complaint on December 16, 2019 in which the customer requested $2,000,000.00 in damages based upon allegations that the customer’s assets were converted and that the customer had been defrauded as…

Benjamin Frank Bourgeois Jr. of Metairie Louisiana a stockbroker formerly employed by Commonwealth Financial Network has been identified in a customer initiated investment related arbitration claim which was resolved for $15,000.00 in damages founded on accusations that the customer’s check had been misused by Bourgeois and that the customer received bad investment recommendations while Bourgeois…

Ronald James Knight (also known as Ramone Knight) of Timonium Maryland a stockbroker formerly registered with NYLife Securities is referenced in a customer initiated investment related written complaint which was resolved for $128,351.26 on April 10, 2018 based upon allegations of the stockbroker having failed to repay a NYLife Securities LLC customer after borrowing funds…

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….

Erik Patrick Pica (also known as Eric Patrick Pica) of Joseph Stone Capital LLC has been barred from associating with any Financial industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision concerning findings that (1) a customer’s funds were converted by Pica (2) the customer was provided with misleading and false…

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…

Mark L. Hopkins of Grand Blanc Michigan, a stockbroker formerly registered with American Portfolio Financial Services was charged by the United States Securities and Exchange Commission with the theft of $1.2 million from five of his customer accounts.  United States Securities and Exchange Commission v. Mark L. Hopkins (E.D. Michigan). According to the Complaint, bginning…

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…

Wilfred Rodriguez Jr. of Boca Raton Florida a stockbroker formerly associated with Wells Fargo Advisors has been referenced in a customer initiated investment related written complaint on December 14, 2019 in which the customer requested $3,600,000.00 in damages supported by allegations of misappropriation and unauthorized transactions during the period in which Rodriguez was employed by…

Robert Gerard Merlo (also known as Robert Gerald Merlo) of Midland Park New Jersey a stockbroker formerly associated with Allstate Financial Services has been barred as a stockbroker in the State of New Jersey according to an Order issued by New Jersey Bureau of Securities that was based on Merlo pleading guilty to fraudulent activities….

Cadaret Grant a securities broker dealer headquartered in Syracuse New York has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that Cadaret Grant failed to supervise its stockbrokers who engaged in private securities transactions one or more of which was a Ponzi scheme. Letter of Acceptance Waiver and Consent…

Wesley James Evans of Seattle Washington 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 upon consenting to findings that he obstructed a FINRA investigation concerning allegations of his misappropriation of a customer’s funds. Letter of Acceptance Waiver…

Dain F. Stokes of Bedford, New Hampshire was a registered representative of LPL Financial, LLC. Stokes is 60 years old and resides in Fremont, New Hampshire, where he also has his own LPL Financial independent office. According to FINRA Public Disclosure, In addition to being a registered representative, Stokes also spends time writing fictional novels….

Chris Kubiak of Brookfield Wisconsin a stockbroker formerly employed by Freedom Investors Corp and Calton Associates Inc. has been identified in a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings in which he has been barred from being a stockbroker or investment advisor representative and barred from associating with any securities broker dealer or…

Lester William Burroughs (also known as Chad Burroughs) of Torrington Connecticut a stockbroker formerly employed by Lincoln Investment and an investment advisor representative with Capital Analysts LLC is the subject of a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings in which Burroughs has been barred from being a stockbroker or investment advisor representative…

David Harry-Nelson Austin of Grand Rapids Michigan a stockbroker formerly registered with JP Morgan Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds belonging to three customers of JP Morgan. Letter of Acceptance Waiver and Consent No. 2020066576401…

Gustavo Alberto Trujillo Franco of Old Bridge New Jersey a stockbroker formerly employed by Global Strategic Investments LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Franco failed to cooperate with FINRA’s investigation into accusations of a fraudulent transfer…

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…

Karen Denise Clark-Kocinski of Bloomingdale Illinois a stockbroker formerly registered with State Farm VP Management Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she failed to comply with FINRA personnel during the period that she was being investigated for misappropriating funds belonging…

Laura Ortega Shean (also known as Laura O. Provost and as Laura Ortega Provost) of Medford Oregon a stockbroker registered with LPL Financial LLC has been barred from working as a stockbroker or investment adviser representative and fined $30,000.00 by Oregon Division of Financial Regulation based upon allegations which include the stockbroker’s misappropriation of a…

Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she converted funds belonging to a customer of Ameriprise. Department of Enforcement v. Sean Michael Refsnider Disciplinary Proceeding No. 2019063790901 (Apr….

Albert Harkless III of Temple Hills Maryland a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a customer’s funds. Letter of Acceptance Waiver and Consent No. 2018060290901 (Apr. 20, 2020). According to…

Page 1 of 61 2 3 6