Brian C. Shevland of Wayne, Pennsylvania, a stockbroker registered with MCG Securities LLC, or Merion Capital Group, has been fined $10,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Shevland made misrepresentations of material fact to investors. Letter of Acceptance, Waiver, and Consent No….

Brian Keith Shey (also known as Brian Keith Palinkas), of Winter Park, Florida, a stockbroker registered with Green Vista 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 because Shey failed to publicly disclose that he was charged with fraud….

Chuck A. Roberts of New York, New York and Miami Beach, Florida, 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 more than $5,000,000.00 in damages based upon alleged negligence, breach of fiduciary duty,…

Brett Arthur Hartvigson, of San Diego, California, a stockbroker registered with Independent Financial Group LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Hartvigson failed to cooperate with an investigation into a customer complaint. Letter of Acceptance, Waiver, and Consent No. 2023078455601 (February 5, 2024). According…

David Victor Tall (also known as Dave Tall), of Costa Mesa, California, a stockbroker formerly registered with Osaic Wealth Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Tall failed to cooperate with an investigation into allegations of his execution of promissory notes away from the…

Edward Steven Mercer (also known as Ed Mercer), of Coral Springs, Florida, a stockbroker registered with Cambridge Investment Research Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate with the regulator in connection with its investigation into a customer’s investment in a…

Eric Brian Kleiner of New York, New York, a stockbroker registered with Morgan Stanley, is the subject of a customer initiated investment related complaint filed on July 13, 2023. The customer requested $300,000.00 in damages based upon allegations that Kleiner made unsuitable investment recommendations in exchange traded funds when Kleiner was associated with Morgan Stanley….

Eric Gustav Kuchherzki (also known as Eric Kuchherski), of Burlingame, California, a stockbroker registered with Centaurus Financial Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $28,000.00 in damages on January 15, 2024. The claim alleges that Kuchherzki made unsuitable invstment recommendations…

Grant Douglas Johnson of Boca Raton, Florida, a stockbroker registered with Noble Capital Markets Inc., has been fined $15,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Johnson participated in private securities transactions. Letter of Acceptance, Waiver, and Consent No. 2022076763001 (February 8, 2024)….

Hector Jesus Hernandez, of Shavano Park, Texas, a stockbroker registered with Money Concepts Capital Corp, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate with FINRA’s investigation into his potential failure to disclose an “outside business activity” while associated with Money Concepts Capital…

James J. Mariani of Mineola, New York, a stockbroker registered with Aegis Capital Corp., 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 Mariani breached a contract, engaged in unsuitable trading, breached his fiduciary duties, and was…

Jeffrey T. Kennedy of Quincy, Illinois, a stockbroker 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 $99,999.00 in damages based upon allegations that Kennedy made the unsuitable investment recommendation of alternative investments when Kennedy was…

Jeffrey Wayne Davidson of Austin, Texas, a stockbroker registered with Equitable Advisors LLC, has been fined $15,000.00 and suspended for 21 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Davidson engaged in private securities transactions or selling away. Letter of Acceptance, Waiver, and Consent No. 2022073948401 (February 16,…

Jilena Yuen-Han Mok (also known as Jilena Yuenhan Mok and Yuen Han Mok), of San Francisco, California, a stockbroker registered with Edward Jones., has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Mok engaged in unauthorized trading in customer accounts. Letter…

Jim Andrew Lund of San Marino, California, 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 customer requested $100,001.00 in damages based upon allegations that Lund committed fraud, violated state and federal securities laws, made unsuitable…

John Michael Fagan of St. Louis, Missouri, a stockbroker formerly registered with Raymond James Associates Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Fagan failed to cooperate with an investigation into a customer complaint. Letter of Acceptance, Waiver, and Consent No. 2023078766801 (November 6, 2023)….

Keith Michael Curtis, of Tampa, Florida, a stockbroker registered with Aegis Capital Corp., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Curtis failed to comply with the regulator’s requests during its investigation into allegations of Curtis’ possible conversion or misappropriation of funds. Letter of Acceptance, Waiver,…

Kirk James Crossen of Carmel, Indiana, a stockbroker registered with Raymond James Associates Inc., has been discharged by the securities broker dealer on October 31, 2023, based upon allegations that Crossen was not forthcoming during the securities broker dealer’s inquiry into a loan from Crossen’s customer at a prior firm. Public Disclosure also shows that…

Kurt Douglas Cambier, of Littleton, Colorado, a stockbroker registered with Cambridge Investment Research Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $67,500.00 in damages based upon allegations that Cambier made unsuitable investment recommendations in real estate securities and direct investments (DPPs…

Lei Shen (also known as Peter Shen), of Orange, California, a stockbroker registered with NI Advisors, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $1,500,000.00 in damages based upon allegations that Shen made unsuitable investment recommendations and overconcentrated accounts in business…

Marion Leopold Leonberger Jr. (also known as Sonny Leonberger), of Louisville, Kentucky, a stockbroker previously registered with American Equity Investment Corporation, 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. The claim alleged that Leonberger made unsuitable recommendations in…

Matt Ward (also known as Matt Adeywardena and Abeywardena Ward), of Santa Monica, California, a stockbroker registered with Alliance Global Partners, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ward engaged in unauthorized trading during the time that he was associated with Alliance…

Matthew E. Loverine of Milwaukee, Wisconsin, a stockbroker registered with Sagepoint Financial Inc., is the subject of a customer initiated investment related complaint filed on March 11, 2023, in which the customer requested compensation based upon allegations that Loverine made misrepresentations of material fact and made the unsuitable recommendation of certain variable annuities during the…

Patrick Michael Mendenhall of Houston, Texas, a stockbroker registered with USCA Securities LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $5,000,000.00 in damages based upon allegations that Mendenhall engaged in unsuitable trading and failed to supervise certain representatives in connection with…

Roy Chuck Waugh of Lawton, Oklahoma, a stockbroker registered with Ameriprise Financial Services LLC, 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 Waugh did not change the beneficiaries on a customer’s account according to the…