Adam Ryan Jacobs,of Beachwood, Ohio, a stockbroker registered with Oppenheimer Co. Inc., is the subject of a pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim. FINRA Public Disclosure shows that the pending claim, filed on April 17, 2024 (FINRA Arbitration No. 24-00833), allegsd negligence, breach of fiduciary duty, breach of…
Alfred Sietze Vanderlaan, of Watertown, South Dakota, a stockbroker previously registered with WestPark Capital Inc., was the subject of a regulatory action initiated by Financial Industry Regulatory Authority (FINRA), who found that Vanderlaan recommended speculative, unrated corporate bonds known as GWG Holdings Class L Bonds to customers between August 2020 and February 2021, violating Regulation…
Angelo Julius Piccone, of Pittsford, New York, a former stockbroker associated with IBN Financial Services Inc., has been sanctioned by Financial Industry Regulatory Authority (FINRA) because Piccone made the unsuitable investment recommendation of alternative investments during the time that he was associated with IBN Financial Services. FINRA’s Letter of Acceptance, Waiver, and Consent No. 2022076855802…
Anthony James Seifert, a stockbroker based in Mount Pleasant, South Carolina, and registered with Kestra Investment Services LLC, has been sanctioned by Financial Industry Regulatory Authority (FINRA) for unauthorized trading. FINRA Letter of Acceptance, Waiver, and Consent (AWC) No. 2022074552101 (January 23, 2025). Seifert consented to a $5,000 fine and a 20-business-day suspension, effective February…
Benjamin Joseph Rosamond, of Lake Mary, Florida, a stockbroker previously registered with Robinhood Financial LLC, was sanctioned by Financial Industry Regulatory Authority (FINRA) on January 14, 2025, for failing to disclose outside business activities while employed at Robinhood Financial LLC and Robinhood Securities LLC. Letter of Acceptance, Waiver, and Consent No. 2023078321201 (January 14, 2025)….
Bhaskarray Bhupat Barot, a former stockbroker associated with TS Imagine Brokerage Services LLC in New York, New York, has been permanently barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity following his refusal to comply with a request for testimony. Letter of Acceptance, Waiver, and Consent No. 2023077895901…
Brian Wayne Napier, a stockbroker based in Greenwood, Indiana, and registered with Ausdal Financial Partners Inc., is currently facing a pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim filed on March 11, 2024 (FINRA Arbitration No. 24-00532). The allegations include negligence, negligent supervision, violations of the Indiana Securities Act, breach…
Carlton Perry Fletcher, a former stockbroker from New York, New York, previously associated with Dinosaur Financial Group, L.L.C., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity. Letter of Acceptance, Waiver, and Consent (AWC) No. 2024082805201 (January 24, 2025). According to the AWC, Fletcher refused to provide documents…
Christopher Delbert Martin, a stockbroker based in Apple Valley, California, and registered with Centaurus Financial Inc., has been suspended by Financial Industry Regulatory Authority (FINRA) for “selling away” or engaging in private securities transactions. Letter of Acceptance, Waiver, and Consent No. 2023079660501 (January 14, 2025). According to the AWC, Martin participated in selling $4,436,381 worth…
Christopher J. Gordon, a stockbroker based in Annapolis, Maryland, and currently associated with Centaurus Financial Inc., is facing three pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claims. According to FINRA Public Disclosure, the claims, filed with FINRA between March 7, 2024, and August 30, 2024, allege that Gordon made the…
Daniel Ray Deno, a stockbroker previously associated with LPL Financial LLC in Owensboro, Kentucky, has been permanently barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity because he failed to comply with an investigation into allegations of his potential fraud. Letter of Acceptance, Waiver, and Consent (AWC) No….
David Dean Glienke, a stockbroker registered with Western International Securities Inc. in Westlake Village, California, is currently facing two pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claims. Public Disclosure shows that the first claim, filed on August 26, 2024 (FINRA Arbitration No. 24-01839), alleged that Glienke made an unsuitable investment…
Drew Matthew Peacock (also known as Matt Peacock), of Pensacola Florida, a stockbroker formerly registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related complaint on November 12, 2024, alleging that he provided incorrect information regarding bond purchases completed in January and February 2023. The complaint was settled for $132,163.68…
Evan Jay Adelglass, a stockbroker associated with LPL Financial LLC in Ansonia, Connecticut, has been the subject of three customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claims regarding unsuitable investment recommendations. FINRA Public Disclosure shows that customers alleged unsuitable investment recommendations by the stockbroker between 2020 and 2024, given their investment…
Frank J. Bodi, a stockbroker formerly associated with Landolt Securities Inc. in Solon, Ohio, has been fined $7,500 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he engaged in unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2023079079001 (January 30, 2025). According to…
Gaylord Wesley Rohloff, a stockbroker based in Westlake Village, California, and associated with Western International Securities Inc., is the subject of customer dispute, based upon allegations of that he made unsuitable investment recommendations, was negligence, and enaged in unauthorized trading. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Rohloff has been involved in eight…
Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff), a stockbroker based in Eau Claire, Wisconsin, and associated with Lifemark Securities Corp., has been sanctioned by the United States Securities and Exchange Commission (SEC). In the Matter of Geoffrey Wolterstorff, Administrative Proceeding File No. 3-21983 (July 29, 2024). According to the Order, between 2020 and 2022,…
Gregory DePaul Whelan, a registered stockbroker and investment adviser formerly with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Lauderdale, Florida, is currently the subject of a pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim. FINRA Public Disclosure shows that the pending arbitration claim, filed on May 10, 2024 (FINRA…
Jamie Theresa Nowakowski (also known as Jamie Ogren and Jamie Stella), formerly associated with Coastal Equities Inc. in Wilmington, Delaware, is now involved or the subject matter of six customer initiated investment related disputes. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows two customer initiated investment related FINRA securities arbitration claims remain unresolved. The first…
Jeffery Bryant Sanders, previously registered as a broker with Woodmen Financial Services Inc. in Union, South Carolina, has been permanently barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in all capacities. The regulatory action resulted from Sanders’ failure to respond to FINRA requests for information. Case No. 2024081360501 (August 26,…
Justin William Pagel, a stockbroker previously registered with Feltl Company in Plymouth, Minnesota, has been sanctioned by Financial Industry Regulatory Authority (FINRA) for making unsuitable investment recommendations and engaging in unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2022073340901 (January 17, 2025). According to the AWC, Pagel managed accounts for Customers A, B, and…
Jason Brooks Head, formerly associated with Morgan Stanley in Tuscaloosa, Alabama, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he misappropriated customer funds. Letter of Acceptance, Waiver, and Consent No. 2024081567201 (January 15, 2015). According to the AWC, between July 2020 and November 2023, Head converted…
Jonathan Manuel Aguilera, previously registered as a stockbroker in Burbank, California, with PFS Investments Inc., has been permanently barred by Financial Industry Regulatory Authority (FINRA) following his refusal to provide requested information during a FINRA investigation. The investigation stemmed from his resignation while under an internal review. Letter of Acceptance, Waiver, and Consent No. 2024082322401…
Joseph Robert Eades Jr., a stockbroker based in Easley, South Carolina, and registered with Capital Investment Group Inc., is facing a pending customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim alleging unsuitable investment recommendations, misrepresentations and omissions of material fact, breach of contract, breach of fiduciary duty, and negligence in connection…
Meredith Archer Webber, a stockbroker formerly associated with Raymond James Financial Services Inc. in Cobleskill, New York, is currently the subject of an ongoing FINRA investigation, where the regulator made a preliminary determination to recommend disciplinary action against Webber for alleged violations of FINRA Rules 8210 and 2010. FINRA Case No. 20240827888 (January 8, 2025)….