Articles Posted in FINRA Arbitration

Matthew Crafa (Matthew William Crafa) (CRD#: 3114277), a currently-registered broker with Royal Alliance Associates, Inc (CRD#: 23131) in Garden City, New York, is the subject of 2 disclosures on his publicly-available FINRA BrokerCheck report, which are both customer disputes. Mr, Crafa allegedly sold GPB to many residents in Boca Raton,…

Steven Reznic (a/k/a Steven Paul Reznik, Steve Reznik) (CRD#: 1067199), a previously-registered broker who last worked for Raymond James Financial Services (CRD#: 6694) at their Tallahassee, Florida branch, is the subject of a remarkable 24 disclosures on his publicly-available FINRA BrokerCheck report. Reznic has been in the industry since 1982.…

Silver Law Group recently filed FINRA arbitration claims against a broker-dealer for the recommendation and sale of an unsuitable Regulation D (“Reg. D”) private placement. The broker-dealer marketed the investment as having huge upside because the company’s initial public offering (“IPO”) was coming up. However, despite repeated promises to customers,…

Benjamin Benoit Lowder Jr. (CRD: #3014106) is a former registered broker whose last employer was MSI Financial Services, Inc. (CRD#:14251) of Charlotte, NC. He was previously employed with Metropolitan Life Insurance Company (CRD#:4095), also of Charlotte, NC, and Jefferson Pilot Securities Corporation (CRD#:3870) of Fort Wayne, IN. He has been…

Christopher R. (“Cubby”) Bice is a registered broker and investment advisor currently employed with Sagepoint Financial, Inc. (CRD#: 133763) of Greensboro, NC. His previous employers include A. G. Edwards & Sons, Inc. (CRD#:4) of St. Louis, MO and UBS Painewebber Inc. (CRD#:8174) of Weehawken, NJ.  He has been in the…

Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC…

Maria Hendershott (CRD:# 818681) is a registered broker and investment advisor currently employed with Raymond James & Associates, Inc. (CRD#: 705) of Houston, TX. Her previous employers include Legg Mason Wood Walker, Incorporated (CRD#:6555) of Baltimore, MD, First Union Securities, Inc. (CRD#:19616) of St. Louis, MO, and Lovett Underwood Neuhaus…

Gregory Alan Ricker (CRD: 1834893) is a former registered broker and investment advisor whose last employer of record was Westpark Capital, Inc. (CRD#:39914) of Boca Raton, FL, which ended on 4/30/2019. According to Ricker’s CRD report, there is no information available on his termination from Westpark. His previous employers include…

David Harrison Miller (CRD: 4648882) is a currently registered broker and investment advisor employed by Peachcap Securities (CRD: 25590) in Atlanta, GA.  His previous employers include Investacorp, Inc. (CRD#:7684) and Ameriprise Financial Services, INC. (CRD#:6363), both of Atlanta, GA, and IDS Life Insurance Company (CRD#:6321) of Minneapolis, MN.  He has…

Shimson Plotkin (CRD: 2431863) is a currently registered broker and investment advisor who is currently employed with Independent Financial Group, LLC (CRD#: 7717) of Chevy Chase, MD.  His previous employers include Pacific West Securities, Inc. (CRD#:6390) and Cambridge Investment Research, Inc. (CRD#:39543), both of Chevy Chase, MD, and Royal Alliance…