Articles Posted in Churning

William George Brunner (CRD #2610348) is a former registered broker and investment advisor. His last employer was Investment Planners, Inc. (CRD #18557) of Huntington, NY.  He was previously employed with First Midwest Securities, Inc. (CRD #21786) and Pointe Capital, Inc. (CRD #112097), also of Huntington. He resigned from Investment Planners…

Broker Donald Fowler (CRD #4989632) is a broker currently registered with Worden Capital Management LLC (CRD #148366) of Rockville Center, New York. He has been with Worden since 2014. He was previously employed by J.D. Nicholas & Associates, Inc. (CRD #44791) of Syosett, NY, and American Capital Partners, LLC (CRD…

Gregory Dean (CRD #4922996), currently employed with Worden Capital Management of Rockville, NY (CRD #148366) is the subject of multiple disclosures, mostly customer complaints. He is also the subject of a civil SEC complaint and one regulatory complaint, going back to 2013.   Dean’s previous employers include: D. Nicholas &…

David Barber (CRD #1165082) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings that he failed to produce information and documents requested by FINRA during the course of an ongoing examination…

Silver Law Group attorneys have won an award against Curtis D. Milakovich, formerly of Kovack Securities Inc. on behalf of our clients through FINRA arbitration. FINRA Awards Our Clients Damages Due to Curtis D. Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000…

Yousuf Saljooki (CRD #5045123, a/k/a “Joe Saljooki”) is a former registered broker with Worden Capital Management LLC (CRD #148366) of Melville, NY. His previous employers include SW Financial (CRD #145012), Legend Securities, Inc. (CRD #44952, expelled) and Tryco Securities, Inc. (CRD #104025), among others. No current employment information is available.…

We recently wrote about securities arbitration claims our securities attorneys are handling involving former Morgan Stanley broker Angel Aquino, (CRD #2687333), while he was a stockbroker with Morgan Stanley. He resigned from the company in July of 2017 after multiple customer complaints and securities arbitration claims. Current customer disputes filed…

A pump and dump scheme is a method used by fraudsters to artificially boost the price of a security that they own shares of in order to make a profit. According to the Securities & Exchange Commission, pump and dump schemes consist of two parts. First, stock promoters will try…

Broker Ryan Michael Murnane (CRD #4784140) has been suspended by FINRA for failure to provide requested information. The suspension was enacted on 02/12/2018. Since no action has been taken in the three-month period, the suspension has become a bar as of April 20, 2018. Murnane’s last employer of record was…

Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. He worked for LPL from 02/27/2012 to 10/18/2017. Previously, Gardner worked for: Raymond Jones Financial Services, Inc. (CRD# 6694) of Fort…