Peter Orlando of Warwick Rhode Island a stockbroker formerly registered with MetLife Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA National Adjudicatory Council Decision containing findings that (1) a senior customer had been exploited by Orlando for financial purposes (2) bad…
Prentice Valiant Chevalier Jr. (also known as Val Chevalier) of Wall Township New Jersey a stockbroker formerly registered with MetLife Securities Inc. is referenced in a customer initiated investment related written complaint on October 9, 2019 where the customer sought more than $5,000.00 in damages supported by allegations that unfounded statements had been made by…
James Paul Kolf of Madison Wisconsin a stockbroker formerly registered with MetLife Securities Inc. has been barred from being a stockbroker or an investment adviser or associating with securities broker dealers or investment advisories according to an Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions issued by Securities Exchange Commission (SEC) based upon…
William Roy Kimberlin of Dallas Texas a stockbroker registered with MetLife Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $15,000.00 in damages based upon accusations that securities laws had been violated by way of false and misleading statements being made to the customer about an…
Randall George Skrabonja of West Palm Beach Florida a stockbroker formerly employed by MetLife Securities Inc. is the subject of a customer initiated investment related written complaint on October 10, 2016 where the customer sought damages estimated to exceed $5,000.00 based upon accusations that Skrabonja gave the customer bad advice about purchasing a variable annuity…
Peter Orlando of Warwick Rhode Island a stockbroker formerly registered with MetLife Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Hearing Panel Decision containing findings that (1) Orlando made unsuitable investment recommendations to an elderly customer and…
John Vincent Blanchard of Marshfield Massachusetts a stockbroker formerly employed by MetLife Securities Inc. (now known as MSI Financial Services Inc.) is referenced in a customer initiated investment related written complaint on July 23, 2018 in which the customer sought damages estimated to exceed $5,000.00 supported by accusations that (1) misrepresentations had been made to…
Michael Todd Glucksman of Ocala Florida is a former registered representative of MetLife Securities Inc. who is the subject of a customer initiated investment related written complaint on July 11, 2016 in which the customer alleged that Glucksman induced the customer’s variable annuity purchase by making misrepresentations. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals…
Jasper Eugene Boykin Jr of Atlanta Georgia is a stockbroker formerly employed with MetLife Securities Inc. who has been has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Boykin obstructed a FINRA investigation into accusations…
Jasper E. Boykin, Jr., of Atlanta, Georgia, a registered representative formerly registered with MetLife Securities Inc., has been charged by FINRA Department of Enforcement in a Complaint alleging that he obstructed a FINRA investigation into allegations of his unapproved outside business activities. Department of Enforcement v. Jasper E. Boykin, Jr., No. 2016049508602 (Oct. 16, 2017)….
Ronald Dolinger, of Dublin, Ohio, a stockbroker formerly registered with MetLife Securities Inc., 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 testify in a FINRA investigation into allegations of his outside business activities. Letter of Acceptance, Waiver and…
William Roy Kimberlin, of Dallas, Texas, a stockbroker formerly registered with Metlife Securities Inc., has been fined $15,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed from customers without authorization, made misrepresentations to his firm, and participated…
James Michael Picha, of St. Louis, Missouri, a registered representative for MetLife Securities, Inc., has been fined and suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he modified a customer’s insurance policy without authorization. Letter of Acceptance, Waiver and Consent,…
Thomas A. Vigil, of Westboro, Massachusetts, a stockbroker formerly registered with MetLife Securities, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he falsified customer accounts documents, impersonated a customer to effect a transaction, and forged…
Jose J. Perez, of Orland Park, Illinois, a stockbroker formerly registered with MetLife Securities Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected an unauthorized transfer of a customer’s assets. Letter of Acceptance, Waiver and Consent,…
Wayne Frederick Slattery Jr., of New York City, New York, a stockbroker formerly registered with MetLife Securities Inc., has been named in a customer initiated investment related written complaint on April 4, 2016, in which the customer’s damages are estimated to exceed $5,000.00 based upon allegations that Slattery induced the customer’s purchase of a variable…
Anthony Randall Bartlett, of Worcester, Massachusetts, a stockbroker formerly registered with MetLife Securities, has been named in a customer initiated investment related written complaint on May 13, 2016, in which the customer requested $41,686.62 in damages based upon allegations that Bartlett made misrepresentations to the customer concerning a variable annuity. Bartlett has been registered with…
Howard Jay Rubin, of Murrieta, California, a stockbroker formerly registered with MetLife Securities, Inc., has been named in a customer initiated investment related written complaint on March 24, 2016, in which the customer’s damages are estimated to exceed $5,000.00, based upon allegations that Rubin made unsuitable investment recommendations to the customer concerning equity indexed annuity…
Brian J. Mocogni, of East Providence, Rhode Island, a stockbroker formerly registered with MetLife Securities, Inc., has been named in a customer initiated investment related written complaint on March 10, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Mocogni made misrepresentations to the customer concerning a variable annuity…
Armand Joseph Fisher, of Glastonbury, Connecticut, a registered representative formerly associated with MetLife Securities Inc., has been censured and fined $5,000.00 by The State of Connecticut Insurance Department based upon allegations that he effected the sales of annuity products for two customers that were not in the customers’ best interests. Case No. FC 15-54 (Sept….
Wayne David Kandas, of Tempe, Arizona, a stockbroker formerly registered with MetLife Securities, Inc., has been named in a customer initiated investment related written complaint on May 26, 2016, based upon allegations that Kandas made misrepresentations to the customer regarding variable annuity products. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Kandas has been…
Brian Patrick Murphy a registered representative associated with Signator Investors from July 2015 through July 2016, and with MetLife Securities, Inc. from December 2006 through December 2014, conducting business under the name “Murphy Financial Advisors” in Moorestown, New Jersey, was arrested January 13, 2017 and was charged with stealing $890,000 from a customer thought he…
Michael J. Smeriglio III, of Greenwich, Connecticut, a stockbroker formerly registered with MetLife Securities Inc., has been subject to a customer initiated investment related arbitration claim on June 26, 2015, which settled for $2,500,000.00 in damages based upon allegations that Smeriglio breached his fiduciary duty to the customer, stole the customer’s funds, and committed fraud….
Winston Wade Turner of Sarasota, Florida, a registered representative with Pruco Securities, LLC, and MetLife Securities, Inc., was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per a FINRA Office of Hearing Officers Default Decision containing findings that Turner committed fraud pertaining to customers’ variable annuity purchases, partook in unauthorized…
MetLife Securities, Inc., headquartered in New York, New York, was censured and fined $20,000,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm made negligent omissions and misrepresentations concerning annuity products, and failed to supervise annuity transactions. Letter of Acceptance, Waiver and Consent, No. 20140408700001 (May 3, 2016). According to the…
Winston Wade Turner, of Sarasota, Florida, a registered representative with Pruco Securities, LLC, and MetLife Securities, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Tuner committed fraud in connection with customers’ variable annuity purchases, participated in unauthorized private securities transactions, and failed to cooperate with a…
Michael Joseph Cortes of Hauppauge, New York, was fined $15,000 and suspended for six-months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that he engaged in unauthorized outside business activities; willfully failed to disclose tax warrants and a lien; and borrowed from funds in violation…
Ameritas Investment Corp., Cetera Advisors LLC, Comerica Securities, Inc., Fifth Third Securities, Inc., First Allied Securities, Inc., Park Avenue Securities, LLC, Securities America, Inc., Huntington Investment Company, Cetera Advisor Networks LLC, Commonwealth Financial Network, MetLife, and Infinex Investment, Inc., were all recently censured and fined by Financial Industry Regulatory Authority (FINRA) for failing to apply…
Andre Paul Young, a registered representative with MetLife Securities, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he improperly borrowed $208,000 in funds from customers in violation of his firm’s policies, and failed to cooperate with a FINRA investigation into allegations of…
Andre Mitchell, a registered representative with MetLife, was permanently barred from associating with any FINRA member firm in any capacity after Financial Industry Regulatory Authority’s Office of Hearing Officers found Mitchell to have converted customer funds in addition to failing to cooperate in a FINRA’s investigation. Department of Enforcement v. Mitchell, No. 2013035618602 (Sept. 28,…
Andre Mitchell, a registered rep from MetLife Securities, Inc., was charged by the Financial Industry Regulatory Authority in a Complaint alleging that Mitchell misappropriated monies provided to him by an insurance customer. Department of Enforcement v. Andre Mitchell, No. 2013035618602 (Apr. 20, 2015). According to the Complaint, Mitchell was being investigated by FINRA after his…
Roland Craig Matatics, a former broker with MetLife Securities Inc. in Keene, N.H., has been permanently barred from the financial industry for misappropriating $10,000 from a customer suffering from dementia. Roland Craig Matatics Submits an AWC The money was later returned and Matatics submitted a Letter of Acceptance, Waiver and Consent (AWC) to settle an action…
Philip Eckstein, a former MetLife Securities Inc. broker, was permanently barred from association with any members of the Financial lndustry Regulatory Authority (FINRA) after he converted $10,000 of an elderly customer’s money to his own use. FINRA announced the sanction in a February 8, 2012 Order accepting Eckstein’s offer of settlement after a disciplinary proceeding…