Eugene Arthur McAdams of Center Moriches, 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 because McAdams failed to comply with a FINRA investigation relating to his investment recommendations during the time that he was associated with…

Brent Devon Hablutzel of Greenwood Village, Colorado, a stockbroker formerly registered with Rockefeller Financial LLC, has been discharged as a stockbroker on July 5, 2022, based upon allegations that Hablutzel made transactions without authorization and had failed to be forthcoming when he was internally investigated by the securities broker dealer. Financial Industry Regulatory Authority (FINRA)…

Edward Lawrence Turley (also known as Ed Turley) of San Francisco, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $55,615,696.00 in damages based upon allegations that Turley effected unauthorized and unsuitable transactions and made misrepresentations…

Thomas Caine Shultz of Scottsdale, Arizona, a stockbroker formerly registered with Coastal Equities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon allegations that Shultz failed to perform due diligence and made unsuitable recommendations with regard to the sale of direct…

Stephen Patrick Tosha of Dallas, Texas, a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated, is the subject of a customer initiated investment related complaint on February 25, 2022, in which the customer requested compensatory damages based upon allegations that Tosha engaged in unauthorized trading in connection with the sale of foreign securities…

Robert Charles Mehlin of Fairfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC has been fined $7,500.00 and suspended for three months from associating with any FINRA member in any capacity based upon allegations that Mehlin engaged in unauthorized trading and used unauthorized communications devices to correspond with customers. Letter…

Darryl Matthew Cohen of Westlake Village, California, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he did not comply with an investigation into his use of customer funds. Letter of Acceptance Waiver and Consent No. 2020066797301 (February 16, 2022)….

John Charles Barnes of Naples, Florida, a stockbroker formerly registered with RBC Capital Markets LLC, has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Barnes’ unauthorized trading in customer accounts during the time that he was associated with RBC Capital…

Conrad Kenneth Branson of Mill Valley, California, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Branson’s unauthorized trading in customer accounts during the time that he was associated…

James William Dunn Jr., of Vienna, Virginia, a stockbroker formerly registered with Ameriprise Financial Services Inc., is done, and has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon the refusal to cooperate with a FINRA investigation into allegations of his unauthorized trading. Letter of Acceptance, Waiver,…

Andrew David Schell of Colorado Springs, Colorado, a stockbroker formerly registered with D.A. Davidson Co., is the subject of a customer initiated investment related complaint that was settled on June 22, 2022, for $36,801.00 in damages based upon accusations that Schell made unauthorized options transactions when Schell was associated with D.A. Davidson Co. FINRA Public…

Ahmad Mohamed Maklouf (also known as Ed Maklouf) of New York, New York, a stockbroker currently registered with Spartan Capital Management LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $350,343.10 in damages based upon allegations that Maklouf churned accounts, breached a fiduciary duty, made unsuitable and…

Patrick Allen English of Phoenix, Arizona, a stockbroker formerly registered with Comerica Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that English refused to cooperate with a FINRA investigation into allegations of unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2022075677601 (August…

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…

David Gene Menashe of New York, New York, a stockbroker formerly registered with Allied Millennial Partners LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he refused to comply with FINRA when he was under investigation for excessive and unsuitable trading. Letter of Acceptance, Waiver, and…

Adam Ray Melville of Sherman Oaks, California, a stockbroker currently registered with Hilltop Securities Inc., is the subject of a customer initiated investment related written complaint on February 13, 2020, in which the customer requested $35,000.00 in damages because Melville allegedly made unauthorized trades involving municipal bonds during the time that he was associated with…

Stephen James Sullivan of New York, New York, a stockbroker formerly registered with Newbridge Securities Corporation, was identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $30,000.00 in damages because Sullivan allegedly made unauthorized, unsuitable, and excessive securities transactions in the customer’s Newbridge Securities Corporation account. Financial Industry Regulatory…

Thomas Duggan of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, was referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $7,500.00 in damages based upon accusations that Duggan made excessive and unauthorized trades while he was registered with Aegis Capital Corp. Financial Industry Regulatory Authority…

Thomas Michael Hallberg (also known as Tom Hallberg) of Forest Lake, Minnesota, a stockbroker formerly registered with Edward Jones, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Hallberg’s unauthorized trading in a customer’s account when he was registered with Edward…

James A. Parrelly (also known as Jim Anthony Parrelly) of Dearborn, Michigan, a stockbroker formerly registered with Investment Planners Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Parrelly’s refusal to comply with a FINRA investigation concerning his potential unauthorized communications relating to…

Paul Itzchak Antevy of North Miami Beach, Florida, a stockbroker registered with FMSBonds Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $14,999.00 in damages supported by accusations of the customer being misled by Antevy regarding investments in corporate debt while Antevy was employed by FMSBonds. Financial…

William Mark Heiden of Newport Beach, California, a stockbroker formerly registered with Wedbush Securities, is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $70,000.00 in damages based upon accusations of unsuitable and unauthorized trading of stocks by Heiden during the time that he was registered with Wedbush Securities…

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…

Robert C. David of Farmington Hills, Michigan, a stockbroker formerly registered with Morgan Stanley Smith Barney LLC, has been fined $15,000.00 and suspended for 20 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he falsified customer account information, overconcentrated customers’ accounts in lower-quality securities, and…

John Joseph Conroy of New York, New York, a stockbroker formerly registered with Andrew Garrett Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $14,999.00 in damages supported by allegations of negligence and fraud as it pertained to stock trades executed in the customer’s account while Conroy…

Neil David Berlant of Los Angeles, California, a stockbroker formerly registered with DA Davidson Co., has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he executed discretionary trades in customer accounts without written authorization and mismarked customer order…

Michael McDermott Sr. of Mobile, Alabama, a stockbroker formerly registered with Wells Fargo Clearing Services LLC, has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in unauthorized trading and had falsified documents during the time that he was registered…

Marc Augustus Reda of New York, New York, a stockbroker formerly registered with Spartan Capital Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he churned investor accounts and made unauthorized trades when he was employed by Spartan Capital Securities. Department of Enforcement…

Mark Allen Frommer of Chicago, Illinois, a stockbroker formerly registered with Morgan Stanley, is referenced in a customer initiated investment related written complaint on December 3, 2021, in which the customer sought $700,000.00 in damages supported by allegations of unauthorized trading by Frommer when he was registered with Morgan Stanley. Frommer has been identified in…

Eric Edward Nicolassy of Red Bank, New Jersey, a stockbroker formerly registered with Woodstock Financial Group Inc., has been suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Nicolassy engaged in unauthorized trades in customer accounts while he was employed by Woodstock Financial…

William David Hobby of Atlanta, Georgia, a stockbroker formerly registered with UBS Financial Services Inc., is identified in a customer initiated investment related written complaint which was resolved for $229,000.00 on October 2, 2019, supported by allegations of the customer being placed into unsuitable over-the-counter equities when Hobby was employed by UBS Financial Services. According…

Richard Foerster Reynolds of Garden City, New York, a stockbroker formerly registered with Worden Capital Management, is identified in a customer initiated investment related FINRA arbitration claim where the customer sought $1,606,034.39 in damages supported by allegations of breach of fiduciary duty and churning of the customer’s account by Reynolds when he was registered with…

Andrew Bruce Elsoffer of Pepper Pike, Ohio, a stockbroker formerly registered with Stifel Nicolaus Company Incorporated, has been fined $15,000.00 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 unauthorized trading, loaned funds to a Stifel Nicolaus customer, and…

Serge Parakhnevich (also known as Serge Parker) of New York, New York, a stockbroker currently registered with PHX Financial Inc., is the subject of a customer initiated investment related FINRA arbitration claim which was settled for $14,999.00 in damages based upon accusations of breach of fiduciary duty by Parakhnevich concerning over-the-counter equities executed in the…

Michael G. Mancinelli (also known as Michael Mann), a stockbroker formerly registered with Dinosaur Financial Group LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in unauthorized trading when he was registered with Dinosaur Financial Group. Letter of…

Sean P. McCabe, of Westbury, New York, a stockbroker formerly registered with Worden Capital Management, is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $330,113.00 in damages supported by accusations of misrepresentation relating to stock trading during the time that McCabe was employed by Worden Capital Management….

John Belk Daughtridge, of Mount Pleasant, South Carolina, a stockbroker formerly registered with Raymond James Associates Inc. and Morgan Stanley, is referenced in a customer initiated investment related written complaint that was resolved on June 1, 2021, for $15,000.00 in compensation to the customer founded on accusations of unauthorized trading by Daughtridge at Morgan Stanley…

Christopher Edward Bond, of Melville, New York, a stockbroker currently registered with National Securities Corporation, 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 he engaged in unauthorized trading in National Securities Corporation customer accounts. Letter of Acceptance, Waiver, and Consent No….

Marcious Dickerson (also known as Marty Dickerson), of Livonia, Michigan, a stockbroker currently registered with Centaurus Financial Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim that was resolved for $39,500.00 in compensation to the customer founded on accusations that between March 23, 2020, and June 26, 2020, unauthorized trading of…

Pratul Victor Agnihotri (also known as Pratol Agnihotri), of New York, New York, a stockbroker formerly registered with Spartan Capital Securities LLC and Spartan Capital Management LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $83,086.81 in damages based upon accusations that between 2013 and 2021, their…

Ronald Scott Bright, of Milwaukie, Oregon, a stockbroker formerly registered with Edward Jones, 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 Bright effected unauthorized transactions in customer accounts during the time that he was employed by Edward Jones. Letter of…

Kirk Badii, of Los Angeles, California, a stockbroker formerly registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $3,000,000.00 in damages supported by accusations of mismanagement and unsuitable recommendations concerning alternative investments while Badii was associated with UBS Financial Services. Financial…

Joel Paul Kichline, of Saint Louis, Missouri, a stockbroker formerly registered with Raymond James Associates 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 of Kichline’s unauthorized trading in Raymond James customer accounts. Letter of Acceptance, Waiver, and Consent No. 2020067473501…

Joseph Brian LaScala Jr. (also known as Joe LaScala Jr.), of Melville, New York, a stockbroker currently registered with Aegis Capital Corp, has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of LaScala’s unsuitable and unauthorized trading in Aegis…

Robert James McNamara, of Albany, New York, a stockbroker formerly registered with Cadaret Grant Co., 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 made discretionary trades without written authorization at Cadaret Grant. Letter of Acceptance, Waiver, and Consent No….

Nathan Gersteen Katz, of Largo, Florida, a stockbroker formerly registered with American Independent Securities Group, is referenced in a customer initiated investment related written complaint on October 28, 2021, in which the customer sought damages supported by allegations of an unsuitable annuity rider being placed on the customer’s annuity, which was intended for the benefit…

Mark Julius Potocsny (also known as Mark Juluis Potocsny), of Madison, Connecticut, a stockbroker formerly registered with Morgan Stanley, was discharged as a stockbroker on April 14, 2021, founded on accusations of his unauthorized trading. According to Morgan Stanley, trades were made by Potocsny without him talking to customers and getting confirmation at the time…

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…

Scott Alan Kaufman, of Wyomissing, Pennsylvania, 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’s investigation into accusations of his improper fixed income trading strategy while he was employed by…

Matthew Alexander Perry, of Columbia, Maryland, a stockbroker formerly registered with Stifel Nicolaus Company Incorporated, is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $40,000.00 in damages founded on allegations that between June of 2016 and March of 2019, unauthorized and unsuitable trades were made by Perry when…

Alan Scot Feigenbaum, of Boynton Beach, Florida, a stockbroker formerly registered with Newbridge Securities Corp, has been fined $15,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Feigenbaum effected unauthorized trades in customer accounts while he was associated with National Securities…

Bradley S. Lay (also known as Brad Lay), of Columbia, Tennessee, a stockbroker formerly registered with Raymond James Associates Inc., has been fined $7,500.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Lay engaged in unauthorized trading of customer accounts while…

Michael Edward Rulison, of Syracuse, New York, a stockbroker currently registered with Morgan Stanley, is identified in a customer initiated investment related written complaint on August 3, 2020, where the customer sought compensatory damages based upon allegations that unauthorized trades were effected in the customer’s account by Rulison while he was associated with Morgan Stanley…

Clifford Edward Bryan III, of Merrillville, Indiana, a stockbroker formerly registered with Wells Fargo Clearing Services, is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $695,000.00 in damages founded on accusations that Bryan failed to supervise a stockbroker’s recommendations in a customer’s account at Wells Fargo Clearing Services….

Seraphim M. Rine (also known as Sam Rine), of West Palm Beach, Florida, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $7,000,000.00 in damages based upon accusations of Rine’s unsuitable trading of common and preferred stock and municipal debt…

Alexander Steven Batt, of Vero Beach, Florida, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith, is referenced in a customer initiated investment related written complaint that was settled for $51,678.00 in damages on January 21, 2020, founded on accusations of unauthorized trading involving a private equity fund when Batt was associated with Merrill…

George Lance Calhoun (also known as Dick Calhoun) of New York, New York, a stockbroker formerly registered with Laidlaw Company, is referenced in a customer initiated investment related written complaint on December 4, 2019, in which the customer sought $250,000.00 in damages supported by accusations that unauthorized trades were executed in the customer’s account by…

Michael John Ovitt, of Williamsville, New York, a stockbroker formerly registered with Wells Fargo Clearing Services LLC, is referenced in a customer initiated investment related written complaint which was settled for $48,800.00 on February 25, 2020, founded on accusations of Ovitt’s unauthorized trading of Allied Motion stock in the customer’s account between 2017 and 2018…

Michael Philip Capolongo, of Garden City, New York, a stockbroker formerly registered with Worden Capital Management, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $330,113.00 in damages based on allegations that Capolongo breached a fiduciary duty regarding common and preferred stock transactions during the period that he…

Michael John Giovannelli (also known as Michael Anthony Giovannelli), of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Giovannelli engaged in unauthorized trading and had falsified documents…

Thomas Duggan, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $7,500.00 in damages based on allegations of excessive trading by Duggan while he was employed by Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA)…

Albert Lewis DeGaetano, of Independence, Ohio, a stockbroker formerly registered with Edward Jones, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that DeGaetano made unauthorized trades in customer accounts when he was registered with Edward Jones. Letter of…

Yann C. Faho (also known as Jann C. Faho and as John Faho), of New York, New York, a stockbroker currently registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $180,000.00 in damages based upon allegations of unsuitable trading by Faho which…

Jamal Hiram Sampson (also known as Jay Sampson), of Red Bank, New Jersey, a stockbroker formerly registered with First Standard Financial Company, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $146,599.00 in damages founded on accusations of excessive turnover and commissions because of Sampson’s stock…

Keith Lawton James Connolly, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $45,000.00 in damages based upon allegations of unsuitable trading by Connolly during the period that he was registered with Aegis Capital Corp. Financial…

Brandie June Becker Osburn (also known as Brandie Becker Osburn) of Glen Allen Virginia a stockbroker currently registered with Pruco Securities is the subject of a customer initiated investment related written complaint on February 3, 2020, in which the customer sought $142,000.00 in damages supported by accusations that an unauthorized transaction was effected in their…

Trevor Bradner Rahn of Los Angeles California a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,000,000.00 in damages based on allegations of Rahn’s unsuitable stock trades while he was associated with JP Morgan Securities. Financial Industry Regulatory Authority…

Scott Neil Hananel of Melville New York a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages founded upon accusations that Hananel executed unsuitable securities transactions during the time that he was associated with Aegis Capital Corp. Financial…

Alan Zelig Appelbaum a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $550,000.00 in damages supported by allegations that they had been sold unsuitable structured products when Appelbaum was registered with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration…

Spartan Capital Securities a securities broker dealer headquartered in Manhattan New York—along with John D. Lowry (co-founder and CEO of Spartan) and Kim M. Monchik (CCO of Spartan)—have been charged by Financial Industry Regulatory Authority Department of Enforcement with failing to disclose reportable events concerning Spartan stockbrokers, including customer complaints and arbitrations. Department of Enforcement…

Michael Miles Hartlett (also known as Mike Hartlett) of East Petersburg Pennsylvania 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 on findings that he engaged in unauthorized trading of a customer’s account when he was…

Jennifer Ann Ayers (also known as Jenny Ayers and as Jennifer Ann Glow) of Roanoke Virginia 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 supported by findings that she failed to cooperate with a FINRA investigation regarding her…

Stephen John Ferencik (also known as Stephen John Ferencilz) of Atlanta Georgia a stockbroker currently registered with Arkadios Capital is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages based upon allegations of unsuitable alternative investment transactions by Ferencik and Arkadios Capital between 2017 and…

Jeffrey Allen Russell of Newport Beach California a stockbroker formerly registered with Morgan Stanley has been discharged as stockbroker on May 26, 2021. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Russell allegedly made unauthorized transactions in customer accounts. Morgan Stanley alleges that he did not have pre-trade customer authorization for transactions involving money…

Christopher Rice Callagy of New York New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $180,000.00 in damages based on accusations of poor investment performance during the time that Callagy was associated with Aegis Capital Corp. Financial…

William Joseph Conn (also known as Bill Conn) of San Francisco California a stockbroker formerly registered with JP Morgan Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $2,000,000.00 in damages founded upon allegations that between 2012 and 2018, Conn effected unauthorized transactions while…

Thomas Boley Hunt of Twin Falls Idaho a stockbroker currently registered with Wells Fargo Advisors is the subject of a customer initiated investment related written complaint which was resolved for $20,000.00 in damages on July 22, 2020 supported by allegations that Hunt’s transactions at Wells Fargo Advisors were not suitable for the customer. Hunt has…

Shirley Ellen Washam (also known as Shirley Ellen Davis and as Shirley Ellen Mazzanti) of Little Rock Arkansas a stockbroker formerly registered with Raymond James Associates Inc. is referenced in a customer initiated investment related written complaint which was resolved for $45,000.00 in damages on December 9, 2020 founded on allegations of an unauthorized annuity…

Christopher Joseph Nelson of Brandon South Dakota a stockbroker formerly registered with Wynston Hill Capital 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 supported by findings that Nelson falsified the records of Wynston Hill concerning trades in customer accounts. Letter…

Jordan David Samelson of Huntington New York a stockbroker currently registered with Wells Fargo Clearing Services LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages supported by accusations of unauthorized trades during the period that Samelson was associated with Wells Fargo Clearing Services….

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…

Charles Scott Burford (also known as Scott Burford) of Dallas Texas a stockbroker formerly registered with Hilltop Securities Independent Network Inc. (now known as Momentum Independent Network Inc.) has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with making unauthorized trades in a customer’s account when he was employed by Hilltop Securities….

Christopher Brian Carolan (also known as Chris Brian Carolan) of Roseville California a stockbroker formerly registered with Morgan Stanley is referenced in a customer initiated investment related civil action where the customer sought $58,465.19 in damages based on allegations that unauthorized trades were executed in their account by Carolan between June of 2012 and September…

Douglas Keith Ellman of Boca Raton Florida a stockbroker currently registered with Shearson Financial Services is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested unspecified damages founded upon allegations that Ellman placed them into inappropriate common and preferred stock between February of 2019 and November of…

James Edward Lyons of Shreveport Louisiana a stockbroker formerly registered with Raymond James Associates Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,000,000.00 in damages founded on allegations of Lyons’ unsuitable trading of sector-specific investments and direct investments while he was associated with Raymond James…

Joseph Augustien Lianzo of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Lianzo made excessive and unauthorized trades in customers’ accounts when he was associated with Laidlaw Company….

Kevin Richard Wilson of New York New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,000.00 in damages supported by accusations that they had been sold unsuitable private placements and over-the-counter equities by Wilson during the period…

Jason Lee Seale III of Novato California a stockbroker and investment adviser representative of American Wealth Management Inc. 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 unauthorized transactions were executed in the customer’s account by Seale when he was associated…

David John Strnad of Franklin Tennessee a stockbroker formerly registered with Morgan Stanley has been suspended as a stockbroker between July 1, 2019 and December 31, 2020 by Florida Office of Financial Regulation based upon Strnad being sanctioned by Financial Industry Regulatory Authority (FINRA) for unauthorized trading. Case No. 249967-19-AG. FINRA Public Disclosure shows that…

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…

Rick Douglas Konecny of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages based upon allegations that unsuitable transactions were affected in customer accounts by Konecny when he was associated with JP Morgan Securities….

Walter Morrow Allen of Suffield 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 he neglected to produce documents and information for FINRA during the course of the regulator’s investigation into Allen’s trading in the…

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…

Hugues Guirand of Virginia Beach Virginia a stockbroker formerly registered with Woodstock Financial Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by a FINRA Office of Hearing Officers Default Decision containing findings that Guirand did not cooperate with FINRA in an investigation relating to…

Gilbert Anthony Kuta of Timonium Maryland a stockbroker formerly registered with Capitol Securities Management Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Kuta executed trades in customer accounts without authorization while he was associated with Capitol Securities Management. Letter…

Cristiano Tempo Castellini of Beverly Hills California a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related written complaint on February 9, 2021 in which the customer requested compensatory damages based upon accusations that Castellini effected unauthorized trades in the customer’s account during the period that…

Roy Joseph Failla of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC has been fined $15,000.00 and suspended for 45 days from being a stockbroker in New Jersey according to a Consent Order containing findings that Failla executed unsuitable and excessive trades in customer accounts while Failla was associated…

Levi B. Robinson of Anchorage Alaska a stockbroker currently registered with UBS Financial Services Inc. has been referenced in a customer initiated investment related written complaint which was settled for $125,000.00 in damages on December 6, 2018 founded on accusations of misrepresentations by the stockbroker in regard to hedging and selling a customer’s investments. According…

Timothy Joseph Cunningham of White Plains New York a stockbroker formerly registered with JP Morgan Securities LLC and JP Morgan Chase Bank has been discharged on June 18, 2020 founded on allegations of Cunningham making unauthorized trades in a customer’s account. According to JP Morgan, Cunningham executed the sale of a security from the customer’s…

Daniel E. Jossen (also known as Dan Jossen) of Bethesda Maryland 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 Jossen failed to cooperate with FINRA’s requests when he was investigated by the regulator for unauthorized…

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