Christopher Stephen Jorgensen of Setauket New York a stockbroker formerly employed by Summit Brokerage Services Inc. has been identified in a customer initiated investment related arbitration claim which has been resolved for $70,000.00 in damages founded on accusations of unauthorized trading and overconcentration of the customer’s assets in investments including (1) exchange traded funds (2)…

Scott Douglas Williams of Franklin Tennessee a stockbroker formerly employed by LPL Financial has been identified in a customer initiated investment related arbitration claim which has been resolved for $61,050.00 in damages founded on accusations that the customer’s account had been churned and that unsuitable penny stocks and equities were traded in the customer’s LPL…

Paul Anthony Falcon of Boca Raton Florida a stockbroker currently registered with Aegis Capital Corp. has been fined $5,000.00 and suspended for thirty days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that the stockbroker used secretive and unapproved communication channels to correspond with customers of Aegis…

David Roger Hirons of San Diego California a stockbroker formerly registered with Wedbush Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $712,080.00 in compensatory damages and $1,000,000.00 in punitive damages based upon allegations of unauthorized options trades that had been effected by Hirons in the…

Thomas Cameron Oakes of Grand Rapids Michigan a stockbroker associated with Royal Securities Company has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any member in any capacity supported by allegations of Oakes’ failure to confirm with the regulator whether he complied with a customer initiated investment related arbitration award. FINRA Case…

Rushdi M. Zalatimo of Jersey City New Jersey a stockbroker currently employed by National Securities Corp has been identified in a customer initiated investment related arbitration claim where the customer sought $200,000.00 in damages founded on accusations that (1) unauthorized trades were effected in the customer’s account and (2) a fiduciary duty that was owed…

Douglas Anthony Leone of Melville New York a stockbroker associated with SW Financial has been referenced in a customer initiated investment related arbitration claim in which the customer requested $250,000.00 in damages supported by allegations that (1) transactions effected in the customer’s account were not suitable (2) contractual and fiduciary obligations were violated (3) misleading…

Vincent James Mazza of Jersey City New Jersey a stockbroker employed by National Securities Corporation has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any member in any capacity founded on accusations of the stockbroker’s failure to comply with the regulator’s request for information. Case No. 2018060932001 (Oct. 28, 2019). FINRA Public…

Andrew Stephen Vitek Jr. of Jenkintown Pennsylvania a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been identified in a customer initiated investment related arbitration claim where the customer sought at least $152,000.00 in damages founded on accusations that (1) mutual funds and structured products were not suitable for the customer given their…

Stuart L. Pearl (also known as Stu Pearl) of Indianapolis Indiana a stockbroker formerly employed by David A. Noyes Company has been identified in a customer initiated investment related complaint which has been resolved on July 1, 2019 for $42,500.00 in damages founded on accusations that (1) a hedge fund position had been executed in…

Marcus Duane Parker of Santa Fe New Mexico a stockbroker associated with Wells Fargo Clearing Services LLC has been referenced in a customer initiated investment related civil action in which the customer requested unspecified damages supported by allegations that transactions were facilitated in the customer’s account by the stockbroker without authorization in 2017 when Parker…

Mark Joseph Sachse of Overland Park Kansas a stockbroker registered with Ameriprise Financial Services Inc. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker failed to respond to the regulator’s request for information about his activities. FINRA Case No. 2018057939001…

Richard French Judd (also known as Rick Judd) of Chicago Illinois a stockbroker employed by CIBC World Markets Corp. has been identified in a customer initiated investment related arbitration claim where the customer was awarded compensatory damages founded on Judd being found liable on the customer’s claims which included that investments had been liquidated from…

James William Flower (also known as Jim Flower) of Garden City New York a stockbroker currently registered with Spartan Capital Securities is the subject of an investigation initiated by Financial Industry Regulatory Authority (FINRA) on October 15, 2019. According to Public Disclosure, the investigation concerns allegations that the stockbroker recommended excessive trades to a customer….

David Francis Dalton of Boston Massachusetts a stockbroker formerly employed by Moors Cabot 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 based on findings that (1) the stockbroker executed trades in customer accounts on a discretionary basis without getting approval…

William David Lancaster of Wagoner Oklahoma a stockbroker formerly employed by Edward Jones has been barred by the Administrator of the Oklahoma Department of Securities from working as a stockbroker or investment adviser representative for twenty-four months founded on accusations that the stockbroker engaged in dishonest or unethical business practices when he was employed by…

Michael Christopher Venturino of Melville New York a stockbroker associated with Aegis Capital Corp. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $225,000.00 in damages based upon allegations that high pressure sales tactics had been used on the customer by Venturino which resulted in the customer being…

Peter Douglas Monson (also known as Pete Monson) of Minneapolis Minnesota a stockbroker currently registered with Van Clemens Co. Incorporated 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 the stockbroker effected unauthorized and inappropriate transactions in Van…

Shawn Evan Burns of Farmingdale New York a stockbroker associated with SW Financial (also known as Salomon Whitney Financial) has been referenced in a customer initiated investment related arbitration claim which was settled for $12,000.00 in damages supported by allegations that (1) stocks and over the counter equities were traded in the customer’s account by…

Daniel R. Castoriano of New Orleans Louisiana a stockbroker formerly registered with Century Securities Associates Inc. 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 effected unauthorized trades in a customer’s account. Letter of Acceptance Waiver and Consent No. 2019062882001…

Stephen Douglas Wood of Bedminster New Jersey a stockbroker currently employed by UBS Financial Services Inc. has been identified in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on April 2, 2019 into accusations that (1) Wood failed to comply with FINRA Rule 2010 and NASD Rule 2510(b) by effecting purchases or sales of…

Thomas S. Martin of Sante Fe New Mexico 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 based upon consenting to findings that Martin effected unauthorized trades in the accounts of Edward Jones customers. Letter of Acceptance Waiver…

Robert Francis Stefanelli of New York New York a stockbroker currently associated with Alexander Capital LP has been referenced in a customer initiated investment related arbitration claim which has been settled for $14,900.00 in damages supported by allegations that (1) common and preferred stock transactions that were facilitated in the customer’s account by the stockbroker…

Mark David Yadron (also known as Mark Lynn Yoder) of Scottsdale Arizona a stockbroker currently associated with Merrill Lynch Pierce Fenner Smith Incorporated has been referenced in a customer initiated investment related complaint on September 24, 2019 in which the customer requested $129,584.00 in damages supported by allegations that in November of 2018, unsuitable investment…

Charles Louis Laubach (also known as Chuck Laubach) of Timonium Maryland a stockbroker associated with Capital Portfolio Management Inc. has been barred from working as a stockbroker or investment adviser representative and has been stripped of his licenses supported by allegations that the stockbroker neglected to comply with securities laws of the State of Maryland…

Raymond John Pirrello Jr. of Hackensack New Jersey a stockbroker formerly registered with Garden State Securities Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with any securities broker dealer or investment adviser based upon a judgment rendered against the stockbroker permanently enjoining him…

Andrew Justin Grant of Melville New York a stockbroker currently registered with Laidlaw Company (UK) Ltd. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in the accounts of Laidlaw Company customers without authorization. Letter of…

Michael Alejandro Castillero of New York New York a stockbroker formerly associated with Alexander Capital LP has been referenced in a customer initiated investment related arbitration claim in which the customer requested $150,000.00 in damages supported by allegations that (1) fiduciary obligations were not complied with (2) the elderly customer had been exploited or otherwise…

Steven Paul Reznik of Tallahassee Florida a stockbroker formerly registered with Raymond James Financial Services Inc. is the subject of a customer initiated investment related arbitration claim which has been resolved for $20,000.00 in damages based upon accusations that (1) fiduciary obligations were breached (2) transactions lacked appropriate supervision from the securities broker dealer (3)…

Ezri Shechter (also known as Eddie Shechter) of Jersey City New Jersey a stockbroker currently registered with Spencer Winston Securities Corporation has been fined $12,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that (1) Shechter executed unauthorized transactions in customer accounts…

Rodrigue Lors (also known as Rodrique Lors) of Westbury New York a stockbroker formerly employed by National Securities Corporation is referenced in a customer initiated investment related complaint on March 26, 2018 where the customer sought $10,000.00 in damages supported by accusations that unauthorized stock trades were executed in the customer’s investment account during the…

David Robert Feigelman of Stowe Vermont a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith is referenced in a customer initiated investment related complaint on February 16, 2018 in which the customer requested damages estimated to exceed $5,000.00 supported by accusations that unauthorized exchange traded fund trades were effected in the customer’s Merrill Lynch…

Michael Douglas Brocker of Woodbury Minnesota a stockbroker currently registered with M. Holdings Inc. is referenced in a customer initiated investment related written complaint on January 30, 2018 where the customer sought $25,851.00 in damages based upon accusations that the customer’s instructions had been disregarded by Brocker as it pertained to the rebalancing of stock…

Michael Joseph David Kane of Virginia Beach Virginia a stockbroker currently registered with Davenport Company LLC has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized trading during the period in which he was associated with…

Craig Allen Leppien of Traverse City Michigan a stockbroker formerly registered with Cetera Investment Services LLC is referenced in a customer initiated investment related written complaint on April 16, 2019 where the customer requested $41,338.86 in damages based upon accusations that unauthorized transactions were executed by the stockbroker when he was associated with Cetera Investment…

Peter Richard Erhart of Roanoke Virginia 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 based upon accusations that he neglected to provide information to FINRA personnel that was requested of him during a pre-investigation inquiry. Case No. 2018058452701…

Juergen Weber of New York New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Weber neglected to cooperate with FINRA when he was investigated for effecting transactions in customer accounts without their…

Laurence Charles Greene of Ellijay Georgia a stockbroker formerly employed by Herbert J. Sims Co. Inc. is referenced in a customer initiated investment related arbitration claim which was settled for $65,000.00 in damages supported by accusations that (1) false or misleading statements had been made in regard to investments Greene sold to the customer (2)…

Jeffrey Allen Baber of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $2,000,000.00 in damages founded on allegations that (1) trades were executed by the stockbroker without the customer’s knowledge or consent and…

Regan Allen Rohl of Fargo North Dakota a stockbroker currently employed by Wells Fargo Advisors Financial Network LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $35,000.00 in damages based upon allegations that (1) direct participation program interests or limited partnership interests recommendations were not suitable given the customer’s…

Bryce Patrick Jenney of Nashville Tennessee a stockbroker formerly registered with Raymond James Associates Inc. has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that (1) Jenney neglected to furnish documentation and information to FINRA when he was under investigation and (2) Jenney failed to testify in response to allegations of…

Joshua Jon Beitel of Traverse City Michigan a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on April 16, 2019 where the customer sought $41,338.86 in damages founded on accusations that the customer’s investments were modified without the customer’s knowledge or consent. Financial Industry…

Paul David Babaz of Atlanta Georgia a stockbroker formerly employed by Morgan Stanley has been terminated by the securities broker dealer on October 4, 2019 based upon allegations that (1) trades were effected in Morgan Stanley customer accounts without authorization and (2) trade adjustment forms had been improperly used by Babaz in reference to customers’…

Roy Joseph Failla of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $26,000.00 in damages based upon allegations that (1) common and preferred stock trades effected by Failla failed to be suitable (2)…

Eugene Nathan Gordon (also known as Gene Gordon) of Palo Alto California a stockbroker formerly employed by 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 Gordon executed trades without the consent of a customer of…

Murry Meir Shapero of Miami Florida a stockbroker currently registered with Maxim Group LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed unauthorized trades in accounts of seventy-five Maxim Group customers. Letter of Acceptance Waiver and Consent No. 2018056487801…

Carmelo Arce Alvarez of Hato Hey Puerto Rico a stockbroker currently registered with Nationwide Planning Associates 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 based upon consenting to findings that Alvarez engaged in unauthorized trades in the accounts of Nationwide…

Robert C. David Jr. of Farmington Hills Michigan a stockbroker formerly employed by Morgan Stanley Smith Barney has been discharged by the securities broker dealer on March 5, 2019 supported by allegations that (1) David used false information about customers to effect bond transactions in their Morgan Stanley accounts and (2) trades were effected by…

Jordan David Cooper of New York New York a stockbroker currently registered with Andrew Garrett Inc. is the subject of a customer initiated investment related written complaint which was settled to resolve allegations that between November 1, 2018 and January 31, 2019, unauthorized over-the-counter equities trades were executed in the customer’s Andrew Garrett Inc. account…

Zachary Samuel Berkey of Melville New York a stockbroker formerly registered with Four Points Capital Partners LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an SEC Order supported by allegations that Berkey: (1) executed…

Richard William Rokala Jr. of Minneapolis Minnesota a stockbroker formerly registered with Dougherty Company LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $45,000.00 in damages based upon allegations that (1) the customer’s account was administered negligently (2) unauthorized trades were executed by the stockbroker (3) stock and…

Barry Steven Synder of Palm Beach Gardens Florida a stockbroker formerly registered with J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages supported by accusations that during the period in which Synder was employed by J.P. Morgan Securities (1) unauthorized over-the-counter equities…

Robert N. Newman of Los Angeles California a stockbroker currently registered with Morgan Stanley is the subject of a customer initiated investment related written complaint on May 20, 2019 where the customer sought $89,400.00 in damages founded on accusations that exchange traded funds and stocks had been traded by the stockbroker between 2005 and July…

David Alan Tucker of Daytona Beach Florida a stockbroker formerly registered with Center Street Securities Inc. has been charged by Florida Office of Financial Regulation in an Administrative Complaint containing allegations that (1) Tucker engaged in outside business activities which were not disclosed to Center Street Securities and (2) Tucker sold exchange traded funds or…

Peter Charlton Budd Jr. of Morristown New Jersey a stockbroker formerly employed by Benjamin F. Edwards Company Inc. has been terminated by the securities broker dealer on July 15, 2019 founded on allegations that (1) he effected unauthorized trades in the accounts of Benjamin F. Edwards customers and (2) he engaged in securities business without…

Elizabeth Ann Guarino of Woodbury New York a stockbroker formerly registered with Wells Fargo Clearing Services has been fined $10,000.00 and suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Guarino executed unauthorized trades in a customer’s account and (2) Guarino gave…

Matthew Thomas Cochran of Charlotte North Carolina a stockbroker formerly employed by Northwestern Mutual Investment Services LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $300,000.00 in damages based upon accusations that from 2015 to 2018: (1) the customer had been provided bad investment recommendations in regard…

James Joseph Kearney of Houston Texas a stockbroker formerly registered with Raymond James Associates Inc. has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Kearney executed more than two-hundred unauthorized trades in the accounts of Raymond James customers. Letter…

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is referenced in a disciplinary action brought by the Commonwealth of Kentucky’s Department of Financial Institutions in which the regulator is seeking revocation of Lamkin’s stockbroker or advisory licensure in the state founded on allegations of Lamkin engaging in unauthorized activities…

Clint Harley Keener of Powell Ohio a stockbroker formerly employed by Capital City Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Keener failed to comply with an investigation into accusations of customers receiving bad investment advice from Keener. Letter of Acceptance…

Jeffrey Travis King of Kansas City Missouri a stockbroker formerly registered with Edward Jones is referenced in a customer initiated investment related written complaint which was resolved for $40,818.00 in damages on August 28, 2019 supported by accusations that unfounded statements had been made by the stockbroker in regards to the customer’s Edward Jones Advisory…

Harold Mandell (also known as Hal Mandell) of San Antonio Texas a stockbroker formerly registered with Next Financial Group Inc. is the subject of a customer initiated investment related written complaint which was settled for $17,500.00 on June 20, 2019 based upon allegations that (1) Mandell executed speculative and aggressive trades in the customer’s account…

John Gunther Hoagland of Troy Michigan a stockbroker formerly employed by 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 based upon consenting to findings that he effected trades in the accounts of Morgan Stanley customers without authorization. Letter of…

Daniel Scott Burges of Southlake Texas a stockbroker formerly employed by Ameriprise Financial Services Inc. has been terminated by the securities broker dealer on July 13, 2019 which was during a time in which he had been internally investigated for effecting trades in customer accounts without authorization in violation of Ameriprise Financial Services’ compliance policy….

Fredrika Nadja Sidoroff of New York New York a stockbroker formerly employed by Morgan Stanley is the subject of a customer initiated investment related written complaint on September 6, 2019 in which the customer sought unspecified damages supported by allegations that exchanged traded funds had been purchased in the accounts of a Morgan Stanley customer…

Steven Tarasius Yellen of El Paso Texas a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $25,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings which included that (1) unauthorized trades were executed in a customer’s investment account by…

Harold Alan Schwartz of Lutz Florida a stockbroker formerly employed by Royal Alliance Associates Inc. has been terminated from the securities broker dealer on February 1, 2019 based upon allegations that Schwartz violated its procedures or policies through his unauthorized transactions pertaining to a customer’s investment account. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms…

Marcus Christian Decker of Fort Lauderdale Florida a stockbroker formerly registered with MML Investors Services LLC is the subject of a customer initiated investment related written complaint on August 23, 2019 in which the customer sought more than $10,000.00 in damages based upon accusations that (1) unauthorized transactions were effected by Decker after the customer…

Steven Eric Erickson of Vancouver Washington a stockbroker formerly employed by LPL Financial LLC has been discharged by the firm on December 31, 2018 founded on accusations that (1) Erickson failed to comply with the policies and procedures of the firm by soliciting customers’ investments in unlisted and low-priced securities and (2) Erickson placed trades…

John Henry Geary of Mount Laurel New Jersey a stockbroker formerly registered with LPL Financial LLC is referenced in a Financial Industry Regulatory Authority (FINRA) investigation dated August 7, 2019 into whether Geary executed unauthorized trades in a customer’s account. According to FINRA Public Disclosure, Geary effected the sale of stock from a customer’s investment…

Stephen John Klinger (also known as Steve Klinger) of Asheville North Carolina 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 founded on findings that Klinger failed to cooperate with FINRA personnel during its investigation into Klingler’s options…

Sam Azizieh (also known as Sam Aziz and as Sam Yehya) a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC is the subject of a customer initiated investment related written complaint on June 27, 2019 where the customer sought $447,000.00 in damages supported by accusations that during the period in which Azizieh was…

Louis Mark Miller of Jericho New York 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 of Miller having failed to comply with FINRA personnel during the period in which he was investigated for effecting discretionary trades…

Charles Harper Bridgers of Wilson North Carolina a stockbroker formerly registered with Wells Fargo Clearing Services has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) trades were executed by Bridgers in the account of a Wells Fargo customer…

Jeffrey Lawrence Vasiloff of Vermilion Ohio a stockbroker formerly employed by LPL Financial LLC has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that trades were executed by Vasiloff on a discretionary basis and without the stockbroker receiving written permission from customers…

Jack David Stone of Hillside Illinois a stockbroker and securities principal formerly registered with Forest Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Stone neglected to provide recorded testimony before FINRA personnel when he was investigated by the regulator…

Clay Gavin Erickson of Salt Lake City Utah a stockbroker formerly employed by Hornor Townsend Kent Inc. has been fined $7,500.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Erickson effected transactions in Hornor Townsend customers’ accounts without any permission from…

Kevin Scott Gunnip of Southlake Texas a stockbroker formerly employed by Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Gunnip neglected to provide testimony before FINRA personnel when the stockbroker was investigated for allegedly effecting unsuitable trades in customer…

Dimitrios Aivaliotis (also known as Jim Aivaliotis and as Jimmy Aivaliotis) of Melville New York a stockbroker formerly registered with SW Financial is referenced in a customer initiated investment related arbitration claim which was resolved for $14,999.00 in damages supported by allegations that (1) trades were effected without authorization (2) contractual obligations had been violated…

William George Davis of Atlanta Georgia a stockbroker formerly employed by Ameriprise Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that (1) Davis solicited investments that were not authorized by Ameriprise to be solicited and (2) Davis mismarked…

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related complaint which was settled for $137,500.00 on August 19, 2019 supported by allegations that between 2013 and 2016, the customer’s funds had been relocated by Herrera without the customer’s permission….

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly employed by Independent Financial Group is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which the regulator determined that disciplinary action should be taken by FINRA Department of Enforcement against the stockbroker founded on allegations of…

Michael Patrick Nixon 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 Nixon executed trades in accounts of Paulson Investment Company customers without written authorization from either customers or the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2018056269002…

Mark Fred Augusta of Solana Beach California a stockbroker formerly registered with Wedbush Securities is referenced in a customer initiated investment related arbitration claim in which the customer requested $398,832.00 in damages based upon accusations that (1) bond trades effected by Augusta failed to be suitable for the customer and (2) unauthorized transactions were executed…

William Andrew Hightower of Houston Texas a stockbroker formerly registered with Legacy Asset Securities Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought unspecified damages supported by accusations that (1) the customer’s account had been liquidated by Hightower without the customer’s authorization and (2) funds were improperly used to…

Michael Lawrence Oromaner of Syosset New York a stockbroker formerly employed by Cova Capital Partners LLC is the subject of a customer initiated investment related arbitration claim where the customer was awarded $75,672.00 in damages based upon Oromaner being found liable on the customer’s claims including (1) breach of fiduciary duty (2) breach of contract…

Stefan Anton Pastor of Fort Lauderdale Florida a stockbroker formerly registered with Raymond James Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with an investigation into allegations of him: (1) effecting trades in a…

Daniel Joe Wilson of Columbus Junction Iowa a stockbroker formerly registered with Northwestern Mutual Investment Services has been terminated on February 5, 2018 based upon allegations of (1) Wilson engaging in unauthorized activities in a customer’s account and (2) Wilson engaging in unapproved activities during a time that he was suspended by Financial Industry Regulatory…

Robert Hayes Hoffman of Indianapolis Indiana a stockbroker formerly registered with Woodbury Financial Services has been barred from being a stockbroker in the State of Indiana according to an Indiana Securities Division Order based upon findings of Hoffman being expelled from a self-regulatory organization for misconduct in the securities industry. Case No. 18-0001 SB (Jan….

Robert John Murray of New York New York a stockbroker formerly registered with Spartan Capital Securities LLC is referenced in a customer initiated investment related arbitration claim in which ten customers collectively requested $6,645,956.00 in damages based upon allegations that (1) fiduciary duties owed to customers had been violated (2) misrepresentations had been made concerning…

David Lloyd Barber of San Diego California a stockbroker formerly registered with Madison Avenue Securities LLC is referenced in a customer initiated investment related written complaint which was settled on August 1, 2018 for $22,500.00 in damages founded on allegations that (1) trades were executed in the customer’s account in an excessive manner and (2)…

Scott Richard Riley of Hooksett New Hampshire a stockbroker formerly employed by Edward Jones has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Riley exercised discretion in customer accounts without having any written authorization (2) Riley executed trades without customers’ consent….

John Scott Simpson of Hunt Valley Maryland a stockbroker formerly registered with RBC Capital Markets LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $27,500.00 in damages founded on accusations that between 2012 and 2016: (1) false or misleading statements had been made concerning the performance of the customer’s…

Arlyn Roy Stokesbary of Slayton Minnesota a stockbroker formerly registered with Thrivent Investment 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 Stokesbary executed unauthorized trades in customer accounts during the period in which he was associated with the…

Michael Christopher Venturino of Garden City New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim which was settled for $300,668.16 in damages based upon accusations that (1) investment recommendations made to the customer failed to be suitable (2) unauthorized trades were effected in…

Peter Michael Riley of Plano Texas a stockbroker formerly registered with Morgan Stanley is the subject of a customer initiated investment related complaint which was resolved for $20,000.00 on July 19, 2018 based upon accusations that unauthorized stock trades were executed in the customer’s account by Riley between March of 2013 and May of 2018….

Michael Patrick Nixon of Tampa Florida a stockbroker currently registered with Paulson Investment Company LLC 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 Nixon executed trades in accounts of Paulson Investment Company customers without written authorization from either customers or…

Stephen Allen Kelbick of Villanova Pennsylvania a stockbroker formerly registered with Wells Fargo Clearing Services LLC 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 Kelbick effected unauthorized trades in customer accounts while registered with Wells Fargo. Letter of Acceptance Waiver…

Daniel Gordon Maughan of Los Angeles California a stockbroker registered with Financial West Group has been charged in a Complaint brought by Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleging that (1) Maughan churned a customer’s investment account and (2) Maughan made unsuitable trades while he was employed by Financial West Group. Department of…

Rocco Roveccio of Staten Island New York a stockbroker registered with Alexander Capital L.P. has been barred from being a stockbroker or investment adviser or otherwise associating with any securities broker dealers or investment advisories according to a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings supported by allegations that (1) Roveccio effected unauthorized…

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