Avi Frohlichman, of San Diego, California, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $65,000.00 in damages based upon allegations that Frohlichman made the unsuitable investment recommendation of oil and gas investments when…
Christopher James Christensen, of Issaquah, Washington, a stockbroker formerly registered with Airlink Markets LLC, has been barred from associating in any capacity with any Financial Industry Regulatory Authority (FINRA) member because Christensen failed to provide documents and testimony requested by FINRA as part of an investigation into his outside business activities and private securities transactions…
Cody Michael Keller, of Mechanicsburg, Pennsylvania, a stockbroker registered with Northwestern Mutual Investment Services LLC and later with MML Investors Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities because Keller failed to provide documents and information requested in an investigation into alleged unauthorized payments to…
Daniel Paul Burkott, of Windsor, Connecticut, a stockbroker and the Chief Compliance Officer of Voya Financial Advisors Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $38,500.00 in damages based upon allegations that Burkott failed to supervise certain representatives in connection with…
David Lee Jerke, a former stockbroker based in Tacoma, Washington, who was registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities because he refused to comply with the regulator’s request for information. Letter of Acceptance, Waiver, and Consent No. 2024084491401 (March 3, 2025)….
Derek Lee Copeland, of Charlotte, North Carolina, a stockbroker registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities by FINRA because Copeland engaged in undisclosed private securities transactions or “selling away” and communicated with customers through unapproved methods. Letter of Acceptance, Waiver,…
Eric Scott Felsenfeld, of Rockville, Maryland, a stockbroker registered with Kingswood Capital Partners LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $26,406.67 in damages based upon allegations that Felsenfeld made misrepresentations of material fact, failed to perform due diligence, and made…
Gary Allen Didonna, of Osprey, Florida, a stockbroker registered with Spire Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $143,000.00 in damages based upon allegations that Didonna made the unsuitable investment recommendation of bonds when Didonna was associated with Spire…
John Michael Palma, of New York, New York, a stockbroker registered with Worden Capital Management LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member because Palma refused to provide documents and information requested by FINRA in the course of an investigation. Letter of Acceptance, Waiver, and Consent No. 2019060753511 (March…
John William Wolf, of Appleton, Wisconsin, an investment advisor representative and President of Cornerstone Financial Planning Inc., was the subject of a customer initiated investment related complaint that was settled on January 15, 2025, for $70,000.00 in damages based upon allegations that Wolf made unsuitable investment recommendations in connection with the sale of direct investments…
Jordan Paul Meadow, of New York, New York, a stockbroker previously registered with Spartan Capital Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities by FINRA because Meadow refused to appear for testimony as requested during an investigation into his potential excessive trading in customer accounts….
Joseph Michael Cannon (also known as Joe Cannon), of Chicago, Illinois, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities by FINRA because Cannon failed to appear for testimony in connection with FINRA’s investigation into transactions involving client investment…
Joseph Robert Weinbauer, of St. Louis, Missouri, a stockbroker registered with Berthel Fisher Company Financial Services 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 Weinbauer made unsuitable investment recommendations, misrepresentations of material fact, and overconcentrated…
Isaiah Thomas Williams Jr., formerly associated with Merrill Lynch Pierce Fenner Smith Incorporated in Boca Raton, Florida, has been referenced in two customer disputes. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows a customer initiated investment related FINRA securities arbitration claim was filed on December 5, 2024, under FINRA Arbitration No. 24-02575. The allegations include…
Linda Lucille Sokol Francis (also known as Linda Lucille Gundelach), of Brookfield, Illinois, a stockbroker registered with LPL Financial LLC, has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity because Francis refused to provide documents and information during a regulatory investigation. Case No. 2023077019901 (March 25,…
Mark Frederic Seruya (also known as Mark Seruya), of Red Bank, New Jersey, a stockbroker formerly registered with Morgan Stanley, has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member firm in any capacity because Seruya refused to provide documents and information requested by FINRA during an investigation. Letter of…
Martin Allan Barth (also known as Martin Allen Barth), of Melville, New York, a stockbroker registered with SW Financial LLC, has been suspended for 16 months by Financial Industry Regulatory Authority (FINRA) because Barth made material misrepresentations and omissions in connection with private placement offerings. Case No. 2020066757803 (March 21, 2025). According to the AWC,…
Michael Edwin Magruder (also known as Michael Magruder), of Orlando, Florida, a stockbroker registered with Raymond James Associates Inc., was the subject of a customer initiated investment related complaint that was settled on August 23, 2024, for $189,259.57 in damages based upon allegations that Magruder borrowed customer funds when Magruder was associated with Raymond James…
Michael Gregory Culwell (also known as Mike Culwell), of Irvine, California, a stockbroker registered with Emerson Equity LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $444,000.00 in damages based upon allegations that Culwell made misrepresentations of material fact and made…
Michael Joseph Dugan (also known as Michael Joe Dugan), of New York, New York, a stockbroker registered with Spartan Capital Securities LLC, has been suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities by FINRA because Dugan engaged in excessive trading in the accounts of two customers….
Michael Ryan Coyne (also known as Michael Coyne), of Wheaton, Illinois, a stockbroker registered with First Trust Portfolios L.P., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $125,000.00 in damages based upon allegations that Coyne collaborated with an advisor in structured…
Michelle Christine Stebbins (also known as Michelle Christine Gillespie), of Southfield, Michigan, a stockbroker registered with Stifel Nicolaus Company Incorporated, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $400,000.00 in damages based upon allegations that Stebbins failed to supervise certain representatives…
Nana Kwame Kwakye-Bissah, of Washington, District of Columbia, a stockbroker registered with LPL Financial LLC, is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Kwakye-Bissah based upon allegations that Kwakye-Bissah failed to respond to requests for documents and information related to…
Peter Joseph Glowacki, of Laguna Niguel, California, a stockbroker registered with TCFG Wealth Management LLC, has been suspended for two months and fined $10,000.00 by Financial Industry Regulatory Authority (FINRA) because Glowacki engaged in discretionary trading in customer accounts without written authorization and used an unapproved communication method for doing securities business. Letter of Acceptance,…
Ruben Javier Frezzotti (also known as Ruben Frezzotti), of Coral Gables, Florida, a stockbroker registered with Raymond James Associates Inc., has been discharged by the securities broker dealer on September 21, 2023, based upon allegations that Frezzotti failed to comply with firm policies by engaging in an outside business activity that was related to real…