Andrew Spiro Pandis, of Forest Hills, New York, a stockbroker registered with Cetera Investment Services LLC, was the subject of a customer initiated investment related “civil action” that was settled for $7,281.05 in damages based upon allegations that Pandis breached a contract in connection with the sale of fixed annuities when Pandis was associated with…
Brad Steven Whalen, of Winter Park, Florida, a stockbroker registered with Green Vista Capital LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $235,000.00 in damages based upon allegations that Whalen was negligent, violated federal securities laws and New Jersey securities…
Brian Hayden Solomon, of Encinitas, California, a stockbroker registered with Independent Financial Group LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $20,000.00 in damages based upon allegations that Solomon made the unsuitable investment recommendation of in non-traded real estate investment…
Collins D. Bhola, of Melville, New York, a stockbroker registered with NYLIFE Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Bhola refused to provide testimony requested by FINRA in connection with its investigation into the stockbroker. Letter of Acceptance, Waiver, and Consent No. 2023079727201…
Daryl Tomobu Serizawa (also known as Daryl Serizana), of Irvine, California, a stockbroker registered with Woodbury Financial Services Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $335,875.45 in damages based upon allegations that Serizawa made the unsuitable investment recommendation of direct investments…
Donald Leo Hansen Jr., of San Francisco, California, a stockbroker registered with Merrill Lynch, has been permitted to resign on February 22, 2024, based upon allegations that Hansen engaged in unauthorized and excessive trading in customer accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Hansen is also referenced in a customer initiated investment…
Gregory Lourdin of New York, a stockbroker registered with Newbridge Securities Corporation, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $12,500.00 in damages based upon allegations that Lourdin failed to supervise certain representatives, made unsuitable invesment recommendations, and was negligent in connection…
Imdadur Rahman (also known as Gino Rahman), of Troy, Michigan, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rahman engaged in unauthorized “financial transactions” with an elderly customer. Letter of Acceptance, Waiver, and Consent No. 2023080253301…
Janine Lynn Ledbetter (also known as Janine Lynn Evans), of Vancouver, Washington, a stockbroker registered with Cetera Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $99,999.00 in damages based upon allegations that Ledbetter failed to conduct adequate due diligence…
Jeffrey Patrick Hobert, of Newport Beach, California, a stockbroker registered with Centaurus Financial Inc., was referenced in a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $50,474.59 in damages based upon allegations that Hobert made the unsuitable investment recommendation of illiquid, high-commission, and risky corporate bonds for…
Joseph Edward Torres, of Staten Island, New York, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Incorporated, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $95,000.00 in damages based upon allegations that Torres failed to follow instructions, made misrepresentations, and engaged…
Kurt Allen Berry, of Elizabethton, Tennessee, a stockbroker previously registered with Vanderbilt Securities LLC, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Berry took part in private securities transactions while associated with Regula Financial Group LLC and Vanderbilt Securities LLC….
Luis S. Jean-Bart (also known as Luis S. Veanbart), of Cranbury, New Jersey, a stockbroker registered with PFS Investments Inc., has been discharged by the securities broker dealer on January 26, 2024, based upon allegations that Jean-Bart accoriding to a State Court complaint, which alleges that Jean-Bart, along with other defendants, caused the plaintiffs to…
Mitchell Ross Pindus, of Los Angeles, California, a stockbroker registered with Wells Fargo Clearing Services LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Pindus made “investment recommendations without disclosing the risks” when Pindus…
Patrick Michael Egan, of Glendora, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $50,001.00 in damages based upon allegations that Egan made misrepresentations of material fact in connection with the sale of…
Robert Lloyd Omohundro, of Atlanta, Georgia, a stockbroker registered with Centaurus Financial Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested damages based upon allegations that Omohundro made the unsuitable investment recommendation of real estate securities when Omohundro was associated with…
Robert Morgan Vance, of Sonora, California, a stockbroker registered with Moloney Securities Co. Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensation based upon allegations that Vance was negligent in connection with the sale of corporate bonds and made unsuitable…
Ronnie Rindon Dumag (also known as Ronnie R. Dumag), of Sacramento, California, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Dumag refused to comply with FINRA investigators in connection with its inquiry into his potential conversion of funds from…
Rosaline Alam (also known as Rosaline Alrachid), of Claremont, California, a stockbroker registered with Lincoln Investment, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Alam refused to provide information and documents requested by the regulator during an investigation into the alleged misappropriation of customer funds. Letter…
Shawn Christian Everett of Estero, Florida, a stockbroker registered with Cetera Advisor Networks LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $12,000.00 in damages based upon allegations that Everett made the unsuitable investment recommendation of real estate securities and private placements…
Stephen R. Mihalek of Mentor, Ohio, a stockbroker registered with J.P. Morgan Securities LLC, was the subject of a customer initiated investment related complaint that was settled on April 25, 2024, for $45,300.49 in damages based upon allegations that Mihalek engaged in unauthorized trading when Mihalek was associated with J.P. Morgan Securities LLC. This is…
Timothy Neil Tremblay of Santa Barbara, California, a stockbroker registered with Centaurus Financial Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Tremblay over-concentrated the customer’s accounts in real estate securities which were both…
William Robert Slepcevich, of Naples, Florida, a stockbroker registered with Questar Capital Corporation, was the subject of a customer initiated investment related complaint that was settled on January 20, 2021, for $25,600.00 in damages based upon allegations that Slepcevich made the unsuitable investment recommendation of Business Development Companies (“BDCs”) when Slepcevich was associated with Questar…
B. David Goldstein of Rancho Mirage, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $230,000.00 in damages based upon allegations that Goldstein made misrepresentations of material fact in connection with the sale…
Russell Paul Green of Syosset, New York, a stockbroker registered with Cabot Lodge Securities LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customers. ostensibly residents of the Commonwealth of Pennsylvania requested $410,000.00 in damages based upon allegations that Green committed common law…