Alan Mark Mason of New York, New York, a stockbroker registered with WestPark Capital Inc., has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Mason made the unsuitable investment recommendations in GWG Class L Bonds during the time that he was…

Charles William Wodrich (also known as Chip Wodrich), of Goodyear, Arizona, a stockbroker registered with Hornor Townsend Kent LLC, is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Wodrich based upon allegations that Wodrich failed to provide documents and information and failed…

Ali Barry Mahlooji, of Jersey City, New Jersey, a stockbroker registered with National Securities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $280,765.51 in damages based upon allegations that Mahlooji was negligent and made unsuitable investment recommendations during the time…

Anthony Ghiglieri, of Hauppauge, New York, a stockbroker registered with Ameriprise Financial Services LLC, was the subject of a customer initiated investment related complaint filed on October 18, 2023, in which the customer requested $31,500.00 in damages based upon allegations that Ghiglieri provided unsuitable investment advice to the customer when Ghiglieri was associated with Ameriprise…

Billy James Aycock of Nashville, Tennessee, a stockbroker formerly registered with Center Street Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Aycock breached a contract, failed to supervise certain representatives, was negligent,…

Bobby Ray Payne Jr. (also known as Bobby Payne), of Manassas, Virginia, a stockbroker registered with Woodbury Financial Services Inc., was the subject of a customer initiated investment related complaint that was settled on September 7, 2022, for $34,856.79 in damages based upon allegations that Payne made unsuitable recommendations in variable annuities when Payne was…

Brandon Jerome Larsen of Green Bay, Wisconsin, a stockbroker registered with Thrivent Investment Management Inc., has been discharged by the securities broker dealer on January 8, 2024, based upon allegations that Larsen violated firm policies regarding unauthorized trading, failure to disclose outside business activities, and conducting communications outside the firm’s auspices. Financial Industry Regulatory Authority…

Brian C. Pfeifler (also known as Bman Pfeifler), of New York, New York, a stockbroker registered with Morgan Stanley, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Pfeifler made unsuitable investment recommendations when Pfeifler was…

Christopher Michael Lazos of New York, New York, a stockbroker registered with Oppenheimer Co. Inc., is the subject of a customer initiated investment related civil action in which the customer requested $250,000.00 in damages based upon allegations that Lazos helped an individual create a misleading valuation for a private placement that was held by the…

Clarence Ronald Patton Jr. (also known as Ron Patton), of Red Bank, New Jersey, a stockbroker registered with Alexander Capital L.P., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim which was settled for $225,000.00 in damages based upon allegations that Patton violated Florida Securities and Investor…

Daniel Philip Raupp of Setauket, New York, a stockbroker registered with Concorde Investment Services LLC, was the subject of a customer initiated investment related complaint filed on September 6, 2023, in which the customer requested compensatory damages based upon allegations that Raupp made omissions of material fact in connection with the sale of direct investments…

David Jon Zupek of Racine, Wisconsin, a stockbroker registered with Concorde Investment Services LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $68,500.00 in damages based upon allegations that Zupek violated FINRA rules, breached his fiduciary duties, committed fraud, breached a contract,…

Gary Alan Kieper of Antigo, Wisconsin, a stockbroker previously registered with Thrivent Investment Management Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kieper failed to appear for testimony in an investigation. Letter of Acceptance, Waiver, and Consent No. 2024081689201 (May 21, 2024). FINRA’s action stems…

Jeffrey Stephen McHale (also known as Jeff McHale), of Hingham, Massachusetts, a stockbroker registered with Coburn Meredith Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $30,000.00 in damages based upon allegations that McHale engaged in unsuitable trading in over-the-counter equities when…

Joel Randy Freedman of West Conshohocken, Pennsylvania, a stockbroker registered with Morgan Stanley, has been permitted to resign on March 14, 2024, based upon allegations that Freedman engaged in discretionary trading in a customer account and failed to internally report a customer’s complaint. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March…

Jonna Doris Keller (also known as Jonna Doris Edelmayer and Jonna Doris Hansen), of Sarasota, Florida, a stockbroker registered with Sigma Financial Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Keller was negligent…

Mark David Wolpert of Plymouth, Minnesota, a stockbroker registered with MSI 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 $50,000.00 in damages based upon allegations that Wolpert made unsuitable investment recommendations and made misrepresentations of material fact about…

Mary Joanne Petretto (also known as MJ Petretto), of Guilford, Connecticut, a stockbroker registered with Innovation Partners LLC, was the subject of a customer initiated investment related complaint that was settled on April 17, 2024, for $22,799.78 in damages based upon allegations that Petretto made misrepresentations of material fact in connection with the sale of…

Michaela Rauscher (also known as Michaela Tarapenyans and Michaela Tarpenyans), of Westlake Village, California, a stockbroker registered with Western International Securities Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $11,500.00 in damages based upon allegations that Rauscher made misrepresentations of material…

Patrick Tantoco (also known as Hermogenes Gil Patrick Tantoco), of Honolulu, Hawaii, 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 $100,000.00 in damages based upon allegations that Tantoco made the unsuitable investment recommendation…

Phillip Todd Cartwright of Appleton, Wisconsin, 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 $15,000.00 in damages based upon allegations that Cartwright overconcentrated the customer’s portfolio in direct investments, made unsuitable recommendations, and omitted…

Richard Whitfield Brown of Fort Myers, Florida, a stockbroker registered with Summit Brokerage Services Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $368,803.00 in damages based upon allegations that Brown made the unsuitable investment recommendation of in real estate securities…

Ronald Harland Berg, of Anaheim California, a stockbroker registered with Innovation Partners LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Berg failed to comply with FINRA’s requests during an investigation. Letter of Acceptance, Waiver, and Consent No. 2023077022401 (May 31, 2024). According to the…

Shaun B. Floresca, of Chicago, Illinois, a stockbroker registered with LPL Financial LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Floresca made the unsuitable investment recommendation of real estate securities when Floresca was associated…

Yong Soo Kim (also known as Yong Kim) of Los Angeles, California, a securities principal registered with Kayan Securities Inc., has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity because Kim failed to supervise certain representatives who engaged in excessive trading…