Blaine R. Stahlman of McDonough, Georgia, the founder and former Chief Executive Officer of of Professional Broker-Dealer Financial Planning, Inc. was sanctioned by Financial Industry Regulatory Authority (FINRA) on October 16, 2024, for supervisory failures related to speculative investments and business-related email communications. Letter of Acceptance, Waiver, and Consent (AWC) No. 2021069380601. Between March 1,…
John D. Cimino of Naples, Florida, a stockbroker formerly registered with Wells Fargo Advisors is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $648,745.00 in damages based upon allegations that Cimino engaged in unsuitable trading in variable annuities when Cimino was associated with Wells Fargo Advisors…