Aaron L. Austin of Bel Air Maryland, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to cooperate with FINRA’s request for information. Case No. 2018058669301 (January 29, 2019). According to FINRA Public Disclosure,…

Jessica Y. Jung of Palo Alto California a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought more than $5,000.00 in damages supported by allegations that Jung made misrepresentations regarding alternative investments that the customer purchased through her while she…

Eric Peter Burton of Orland Park Illinois a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Burton falsifying customers’ documents relating to variable annuity transactions that he effected. Letter of…

Chun Mei Zhu (also known as Ida Mei Zhu) of Bellevue Washington a stockbroker formerly registered with Waddell Reed is referenced in a customer initiated investment related written complaint on September 25, 2020 where the customer requested $26,774.00 in damages founded on allegations that they had been placed into an unsuitable Securian annuity when Zhu…

Ronald Patrick Cameron of Fayetteville Arkansas a stockbroker registered with International Assets Advisory and LPL Financial LLC has been fined $5,000.00 and suspended for five weeks from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in outside business activities. Letter of Acceptance Waiver and Consent…

Elias Moses Hakimian (also known as Elias Moses Lopez-Hakimian) of Seal Beach California a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he borrowed an LPL Financial customer’s funds in…

Kevin Douglas Houser of Allentown Pennsylvania a stockbroker and investment adviser representative of LPL Financial is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $358,000.00 in damages supported by accusations that the customer had been provided unsuitable investment recommendations regarding business development companies and real estate…

Kevin Marshall McCallum of Birmingham Alabama a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $4,800,000.00 in damages based upon allegations of the stockbroker making unsuitable trades involving closed end funds during the period that he was registered…

Gilberto Briseno (also known as Gilbert Briseno) of Boutte Louisiana a former stockbroker and investment adviser representative of LPL Financial is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages estimated to exceed $5,000.00 founded on allegations that the customer received unsuitable investment recommendations from Briseno concerning…

LPL Financial LLC a securities broker dealer headquartered in Fort Mill South Carolina has been censured and fined $6,500,000.00 based in part on findings that LPL failed to supervise its stockbrokers’ dissemination of consolidated reports to customers resulting in some of its customers being defrauded by an LPL stockbroker. Letter of Acceptance Waiver and Consent…

Michael Anthony Tavel of Indianapolis Indiana a stockbroker formerly registered with LPL Financial LLC has been fined $20,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Tavel selling away from LPL Financial and making unsuitable investment recommendations while registered with the…

Ronald Patrick Cameron of Fayetteville Arkansas a stockbroker and investment adviser representative of Raymond James Financial Services has been isnamed in arbitration claim an Order by Arkansas Securities Commissioner where he was fined $8,000.00 based upon findings that he settled a customer complaint away from Raymond James. Case No. S-19-0033 (Apr. 8, 2019). According to…

James Joseph Zegers of Albany New York a stockbroker formerly registered with Voya Financial Advisors Inc. has been referenced in a customer initiated investment related arbitration claim which was resolved for $34,000.00 in damages supported by allegations that the customer was negligently placed in NorthStar REIT while Zegers was associated with Voya Financial Advisors. Financial…

Norman Stanley Batansky of Jupiter Florida a stockbroker formerly employed by LPL Financial LLC has been fined $7,500.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Batansky engaged in private securities transactions and concealed his securities-related correspondence. Letter of Acceptance Waiver and…

Timothy Aaron Engelmann of Albuquerque New Mexico a stockbroker formerly registered with LPL Financial 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 founded on findings that Engelmann borrowed funds from customers without authorization. Letter of Acceptance Waiver and Consent No….

Cynthia Ann Giovacchino of Ansonia Connecticut a stockbroker formerly registered with LPL Financial LLC has been referenced in a customer initiated investment related complaint which was resolved on April 20, 2020 for $63,713.96 in damages supported by allegations that the customer had been sold unsuitable real estate investment trusts by Giovacchino. According to the complaint,…

James Kenneth Couture of Worcester Massachusetts a stockbroker formerly registered with LPL Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Couture failed to cooperate with FINRA investigators. Letter of Acceptance Waiver and Consent No. 2020067011901 (Oct. 21, 2020). According to the AWC,…

William Perry Randall (also known as W. Perry Randall) of Rockford Illinois a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $40,000.00 in damages based upon accusations that the customer had been advised to invest in energy sector investments which…

David Leroy Johnson (also known as D. Leroy Johnson) of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Johnson falsified signatures of LPL Financial customers and that…

Matthew O. Clason of Glastonbury Connecticut a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that he did not honor FINRA requests which had been made during the time that he was under investigation for violating FINRA…

Kevin Joseph Kuhlow (also known as Kevin J. Cullen) of Los Gatos California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint which was settled for $60,000.00 on January 10, 2019 founded on accusations that the customer had been invested by Kuhlow in worthless unregistered securities….

Benjamin Frank Bourgeois Jr. of Metairie Louisiana a stockbroker formerly employed by Commonwealth Financial Network has been identified in a customer initiated investment related arbitration claim which was resolved for $15,000.00 in damages founded on accusations that the customer’s check had been misused by Bourgeois and that the customer received bad investment recommendations while Bourgeois…

Benard Wayne Gann of Tyler Texas a stockbroker formerly associated with LPL Financial LLC has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on his consent to findings that he facilitated an unauthorized transaction in a customer’s account. Letter of Acceptance…

John George Kallis of Louisville Kentucky a stockbroker formerly employed by LPL Financial LLC has been fined $5,000.00 and suspended for forty-five days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Kallis engaged in undisclosed private securities transactions while employed by LPL Financial. Letter of Acceptance…

James Michael Adgar of Alameda California a stockbroker formerly associated with LPL Financial LLC has been discharged by the firm on August 28, 2019 supported by allegations that Adgar neglected to abide by the policies of the securities broker dealer as it pertained to the insertion of customer signatures on incomplete documentation to effect transactions….

Dain F. Stokes of Bedford, New Hampshire was a registered representative of LPL Financial, LLC. Stokes is 60 years old and resides in Fremont, New Hampshire, where he also has his own LPL Financial independent office. According to FINRA Public Disclosure, In addition to being a registered representative, Stokes also spends time writing fictional novels….

Yvonne Lara Silguero of McAllen Texas a stockbroker currently associated with LPL Financial LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages supported by allegations that a fiduciary duty that was owed to the customer had been breached by Silguero as it pertained to…

Scott Mason of Lakewood Colorado a stockbroker formerly employed by LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Mason failed to cooperate with the regulator’s request for his information. Case No. 2018058924501 (Apr. 20, 2020). Mason will be automatically barred…

Donald George Padilla of Alhambra California a stockbroker formerly employed by LPL Financial LLC has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Padilla used unauthorized correspondence channels with customers and had caused LPL Financial to maintain false…

Laura Ortega Shean (also known as Laura O. Provost and as Laura Ortega Provost) of Medford Oregon a stockbroker registered with LPL Financial LLC has been barred from working as a stockbroker or investment adviser representative and fined $30,000.00 by Oregon Division of Financial Regulation based upon allegations which include the stockbroker’s misappropriation of a…

Donald Stephen Woods (also known as Don Stephan Woods) of Louisville Kentucky a stockbroker formerly registered with LPL Financial has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Woods provided unsuitable investment recommendations to customers and had submitted…

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed funds from a customer of LPL Financial without authorization and had…

Samuel Izaguirre of Miami Lakes Florida a stockbroker currently employed by LPL Financial LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $93,000.00 in damages based upon accusations that (1) Izaguirre lacked appropriate supervision from the securities broker dealer concerning his real estate securities transactions (2) information relating…

Carl John Grilli of Monrovia California a stockbroker formerly registered with Investors Capital Corp. is referenced in a customer initiated investment related civil action brought in the Superior Court of California in which the customer sought $89,000.00 in damages based upon allegations that (1) the customer’s account was administered negligently (2) information about investments had…

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is referenced in a disciplinary action brought by the Commonwealth of Kentucky’s Department of Financial Institutions in which the regulator is seeking revocation of Lamkin’s stockbroker or advisory licensure in the state founded on allegations of Lamkin engaging in unauthorized activities…

Christopher Neil Watkins of Louisville Kentucky a stockbroker registered with LPL Financial LLC has been discharged by the securities broker dealer on November 30, 2018 founded on accusations that Watkins provided compensation to an unauthorized, unregistered person who may have facilitated a securities transaction with an LPL Financial customer. Financial Industry Regulatory Authority (FINRA) Public…

Galen Kyle Kopman of Vancouver Washington a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim where the customer requested $160,000.00 in damages based upon accusations that (1) unfounded statements and omissions had been made by Kopman in regards to risks of direct investments including business…

Steven Eric Erickson of Vancouver Washington a stockbroker formerly employed by LPL Financial LLC has been discharged by the firm on December 31, 2018 founded on accusations that (1) Erickson failed to comply with the policies and procedures of the firm by soliciting customers’ investments in unlisted and low-priced securities and (2) Erickson placed trades…

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with both LPL Financial LLC and Invest Financial Corporation and the founder of Booth Financial Associates has been charged by Securities Exchange Commission (SEC) in a Complaint alleging that Booth engaged in a Ponzi scheme in which forty investors were defrauded. SEC v. James T….

Andre Kapulenui Kaluna of Avondale Arizona a stockbroker formerly registered with LPL Financial LLC has been terminated from the securities broker dealer on February 8, 2019 based upon accusations that Kaluna engaged in outside business activities which had not been disclosed to LPL Financial LLC. FINRA Public Disclosure confirms that Kaluna is referenced in three…

James Cornelius Bylenga of Portage Michigan a stockbroker formerly employed by LPL Financial LLC is the subject of a Notice and Order to Cease and Desist issued by the State of Michigan Department of Licensing and Regulatory Affairs’ Corporations, Securities and Commercial Licensing Bureau based upon findings that Bylenga defrauded Michigan residents. In the Matter…

Donald Stephen Woods of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related complaint on June 3, 2019 where the customer sought damages estimated to exceed $5,000.00 supported by accusations that (1) bad recommendations of alternative investments including business development companies had been made to the…

Michael Eric Johnson of Medford Oregon a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Johnson failed to cooperate with a FINRA investigation into accusations of his improper acquisition of customer accounts and designation as beneficiary…

Louis Mark Miller of Jericho New York a stockbroker formerly employed by LPL Financial LLC has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Miller failed to testify before FINRA personnel during an investigation into accusations of Miller’s unauthorized trading in customers’ brokerage accounts when he was employed by LPL…

Lance R. Shaw of Wynnewood Pennsylvania a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related arbitration claim which settled for $65,000.00 in damages founded on accusations that (1) unauthorized trades were executed in the customer’s account (2) trades were effected in an excessive manner (3) misrepresentations had…

Robert Scott Davis (also known as Robert Scott David) a stockbroker formerly employed by LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Davis engaged in unauthorized trades in the accounts of LPL Financial customers and (2)…

Eric Jason Savell of Roseville California a stockbroker formerly employed by LPL Financial LLC has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Savell engaged in outside business activities without disclosing them to LPL Financial and (2)…

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Booth converted funds belonging to customers of the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2019062787101…

Scott Mason of Lakewood Colorado a stockbroker formerly registered with LPL Financial 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 supported by findings that a customer’s funds had been borrowed by Mason in violation of the policies of LPL Financial…

Charles Caleb Fackrell of Yadkinville North Carolina a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought compensatory damages founded on accusations that (1) penny stock and equities trades were placed in the customer’s account by Fackrell even though Fackrell lacked…

Philip John Nalesnik of Pottsville Pennsylvania a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Nalesnik hindered a FINRA investigation into accusations of (1) Nalesnik engaging in outside business activities in violation of the…

Kimberly Pine Kitts of Palmer Massachusetts a stockbroker formerly registered with Royal Alliance Associates Inc. was sentenced by a federal district court judge to more than seven years in prison, three years of supervised release and required to pay restitution of $3,085,939.00 according to the United States Attorney’s Office based upon Kitts pleading guilty to…

James Cornelius Bylenga of Portage Michigan a stockstockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply in FINRA’s investigation into Bylenga’s possible loan arrangements with customers of LPL Financial LLC. Letter of Acceptance…

John A. Crumb of Macedon New York a stockbroker formerly employed by LPL Financial LLC has been fined $12,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Crumb engaged in outside business activities that were not disclosed to LPL…

Diane Marie Knight of Chico California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint on January 26, 2017 where the customer sought $50,000.00 in damages supported by accusations that while Knight was associated with LPL Financial LLC unauthorized parties signed documents to effect real estate…

Erick Andrew Bourbon of Salem Massachusetts a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related written arbitration claim which was settled for $23,000.00 in damages based upon accusations that between January 7, 2014 and June 30, 2016: (1) mutual fund and stock recommendations were not suitable for the…

Keith Allen Haynes Jr. of Winchester Kentucky a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he did not cooperate with a FINRA inquiry into his activities likely concerning the allegations cited in his termination from…

Gregory Jackson Baxter of Fresno California a stockbroker formerly registered with UBS Financial Services Inc. has been discharged by the firm on November 29, 2017 based upon allegations that he engaged in outside business activities in 2017 after his requests for engaging in those activities had already been denied by the firm. Financial Industry Regulatory…

Louis Mark Miller of Jericho New York a stockbroker formerly employed by LPL Financial LLC is referenced in a Financial Industry Regulatory Authority (“FINRA”) Wells Notice in which FINRA has made an initial determination to suggest that FINRA Department of Enforcement bring a disciplinary action against Miller for obstructing an investigation and making unauthorized trades…

Gary T. Plessl of Allentown Pennsylvania a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related arbitration claim on February 28, 2017 where the customer sought $250,000.00 in damages based upon allegations that (1) misrepresentations had been made to the customer concerning the customer’s investments in variable annuities and…

Paul Edward Dorion of Killington Vermont a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Dorion failed to respond to FINRA’s inquiry. FINRA Case No. 2015047608601 (Oct. 31, 2016). According to FINRA Public Disclosure, a request…

Scott Edward Burns of Monroe Michigan a stockbroker formerly registered with LPL Financial LLC has been discharged on August 14, 2018 based upon the firm’s accusations that Burns committed a violation of LPL Financial LLC’s policy by way of engaging in unapproved outside business activities during the time that he was employed with the firm….

Tony Alan Tolene of Mechanicsburg Pennsylvania a stockbroker formerly employed by LPL Financial LLC has been fined $4,000.00 and suspended for forty-five days from associating with any Financial industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked customer order tickets as being unsolicited when they were solicited. Letter…

Carol Ann Holesha of Chicago Illinois a stockbroker formerly registered with LPL Financial LLC has been fined $7,500.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Holesha borrowed money from a customer without the firm’s permission and (2)…

Cheryl Ann Stallings of Amarillo Texas a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Stallings violated the firms supervisory procedures and systems (2) Stallings impermissibly utilized the funds of an LPL Financial…

Virginia Ann Pack of White House Tennessee a stockbroker formerly registered with LPL Financial LLC has been terminated from employment on March 6, 2017 based upon accusations that Pack exercised discretion in a customer’s account without the firm’s authorization which was conduct violative of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally…

Michael Jason Ripper of Memphis Tennessee a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he neglected to furnish information to FINRA when FINRA formally requested him to do so. Case No. 2015048052801 (May 9, 2017)….

Robert Scott Davis of Richmond Indiana a stockbroker formerly registered with LPL Financial LLC has been discharged by LPL Financial on August 16, 2017 supported by accusations that Davis violated the firm’s policy by placing trades in LPL Financial customer accounts on a discretionary basis. Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that…

Jordan P. Rider of Overland Park Kansas a stockbroker currently registered with LPL Financial LLC and representative of V Wealth Management is referenced in a customer initiated investment related written complaint which was resolved for $125,000.00 on August 28, 2017 supported by accusations that Rider (1) executed trades in the customer’s account that were not…

Rey Whitehorn of Hallandale Florida a stockbroker currently employed by LPL Financial LLC is referenced in a customer initiated investment related arbitration claim in which the customer sought more than $5,000.00 in damages supported by allegations that unsuitable corporate-debt transactions were executed in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01192 (Apr….

Samuel Izaguirre of Pembroke Pines Florida a stockbroker registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages founded on allegations that (1) Izaguirre did not disclose information about a non-traded real estate investment trust merger and (2) Izaguirre effected the…

Albert Sidney Gersh of Woodland Hills a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he declined to provide FINRA information that had been requested of him. Case No. 2017053705301 (Sept. 25, 2017). According to FINRA…

Marc Salvatore Pico of Fort Lee New Jersey a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on July 3, 2018 in which the customer requested $21,843.55 in damages founded on allegations that omissions had been made to the customer concerning the terms of the variable…

Philip John Nalesnik of Pottsville Pennsylvania a stockbroker formerly registered with LPL Financial LLC has been discharged by the firm on July 8, 2018 supported by allegations that Nalesnik engaged in outside business activities in violation of LPL Financial’s policy, and failed to be forthcoming to the firm when questioned about his activities. Financial Industry…

Robert Matthew Krieger of New York New York a stockbroker formerly employed by LPL Financial LLC has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in outside business activities without disclosing them to LPL Financial. Letter of…

Bradley Clyde Fischer of Troy Michigan a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $450,000.00 in damages supported by allegations that unsuitable real estate investment trust transactions were effected in the customer’s investment account which caused the customer to…

Gretchen Jenkins of Rochester New York a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Jenkins failed to provide FINRA personnel with information after an inquiry was made by FINRA into her activities. Case No. 2018057783001…

Charla Cynthia Kabana of Huntington Beach California a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA’s investigation into her possible variable annuity sales practice violations. Letter of Acceptance…

Ryan Christopher Faley of Huntington Station New York a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related arbitration claim that settled for $29,750.00 in damages based upon allegations that Faley made equity investment recommendations to the customer that were not suitable. Financial Industry Regulatory Authority (FINRA) Arbitration…

Kodi Robert Hermann of Tualatin Oregon a stockbroker formerly registered with LPL Financial LLC has been named in a customer initiated investment related arbitration claim in which the customer was awarded $9,064.03 in compensatory damages and $1,500.00 in attorneys’ fees founded on accusations of (1) breach of contract (2) negligence (3) violation of FINRA Rules…

Richard Hiroyuki Yada of Little Rock Arkansas a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized trading in customer accounts. Letter of Acceptance Waiver…

Gary Needham of Manchester by the Sea Massachusetts a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related complaint where the customer sought $433,452.00 in damages on October 3, 2017 founded on accusations that (1) the customer suffered unwarranted poor performance on investments and (2) excessive stock trades were…

Brian Lawrence Stephan of Xenia Ohio a stockbroker formerly employed by LPL Financial LLC and Commonwealth Financial Network has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Stephan engaged in unsuitable mutual fund trading and the mismarking of transactions and switch forms. Department of Enforcement v. Brian Lawrence Stephan Disciplinary…

Donald John Chiodo of Clare Michigan a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC is the subject of a customer initiated investment related written complaint on June 27, 2016 where the customer sought $82,841.00 in damages based upon allegations that between April 30, 2015 and May 13, 2016, variable annuity investment recommendations…

Scott Alan Kaufman a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been terminated from employment on June 30, 2017 based upon allegations that Kaufman failed to communicate with customers about trades prior to executing them in their accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on April 26, 2018, a…

Judith Ann Tengler of Broadview Heights Ohio a stockbroker formerly registered with Signator Investors Inc. is referenced in a customer initiated investment related written complaint that was settled on March 1, 2017 to resolve allegations that Tengler effected trades in the customer’s variable annuity account without procuring the customer’s authorization. Financial Industry Regulatory Authority (FINRA)…

Steven Nelson Schrader of Livonia Michigan a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on June 6, 2018 where the customer requested $28,857.00 in damages founded on allegations that the customer’s instructions of transferring stock were not followed causing the customer to incur additional…

Steven Glenn Crawford of Glen Allen Virginia a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on August 18, 2017 where the customer sought damages estimated to exceed $5,000.00 based upon allegations that the customer was placed in a variable annuity between June 12, 2016 and…

Suhail Saleem Khan of Chicago Illinois a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide FINRA with information that was requested of him. Case No. 2017054093201 (Nov. 13, 2017). FINRA Public Disclosure…

Eric Sikes of Boca Raton Florida a stockbroker formerly registered with LPL Financial LLC has been fined $10,000.00 by the Florida Office of Financial Regulation and ordered to cease and desist committing violations of Florida Securities and Investor Protection Act based upon Sikes’ consent to findings that he (1) failed to conduct adequate due diligence…

Clifton Hideki Roberts of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been discharged by the firm on April 25, 2018 based upon accusations that Roberts failed to abide by the firm’s policy concerning outside business activities. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Roberts is referenced in two customer…

William Weaks Brennan of Chesterfield Missouri a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim where the customer requested $22,978.25 in damages supported by accusations that equity transactions were executed in the customer’s account that were not suitable for the customer. Financial Industry Regulatory Authority…

Shane Jason Kelly of Port Saint Lucie Florida a stockbroker formerly registered with LPL Financial LLC had been suspended with associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Kelly failed to provide FINRA with a response to its request for his information. Case No. 2017054666601 (Jan. 29,…

Bradley Everett Gardner of Fort Bragg California a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a customer’s funds. Letter of Acceptance Waiver and Consent No. 2017055975701 (June 4, 2018). According to…

Thomas Edward Andrews of Salt Lake City Utah a former LPL Financial LLC registered representative has been barred by Securities and Exchange Commission (SEC) in all capacities according to an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 containing findings that Andrews committed securities fraud. In the Matter…

Donald Joseph Savino Jr. of Rochester New York a stockbroker registered with LPL Financial LLC has been discharged by the firm on March 30, 2017 supported by accusations that Savino engaged in private securities transactions in violation of the firm’s policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that a customer filed an investment…

Andre Kapulenui Kaluna of Avondale Arizona a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on February 1, 2018 in which the customer requested $36,451.00 in damages supported by allegations that between April of 2017 and December of 2017, the customer’s instructions were not followed regarding…

Ron Ray Willoughby Junior of Tempe Arizona a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint which settled for $33,035.29 on January 9, 2018 founded on accusations that unit investment trust transactions were executed in the customer’s account that were not suitable for the customer. Financial…

Karl Horace Romero of Santa Ana California a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $250,000.00 in damages based upon accusations that the customer received recommendations that were not suitable concerning limited partnership interests. Financial Industry Regulatory Authority (FINRA) Arbitration No….

Brian Lewis Baum of Longmont Colorado a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim which settled for $19,500.00 in damages based upon allegations that the customers were placed into unsuitable energy limited partnership, business development group and real estate security transactions. Financial Industry Regulatory…

Page 1 of 21 2