Articles Posted in FINRA Disciplinary Actions

Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of Beverly Hills, and Waterhouse Securities, Inc. (CRD #7870). No current…

Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. (CRD #705) of Palm Beach Gardens, FL. He was previously employed by Morgan Keegan & Company, Inc. (CRD #4161) of Jupiter, FL and First Financial Equity Corporation…

Paul Joseph Prestia (CRD #4477149) is a former registered broker whose last employer was Laidlaw & Company (UK) Ltd. (CRD #119037) of Melville, NY. His previous employers include Network 1 Financial Securities Inc. (CRD #13577) of Huntington Station NY and MidAmerica Financial Services, Inc. (CRD #47351.) No current employment information…

Former broker and investment advisor Meaghan Marie Johnson (CRD #5754123) has been barred by FINRA after customers filed eight complaints in 2017. She was previously employed by Northwestern Mutual Investment Services, LLC (CRD #2881) of McLean, VA, and briefly by Signator Investors, Inc. (CRD #468) of Vienna, VA. She resigned…

These four brokers have been accused of numerous infractions National Securities Corporation has been operating for decades and has offices and brokers all over the U.S. Unfortunately, however, a significant percentage of their brokers have been involved in numerous customer complaints. Here are just a few examples of how National…

Ramon Arturo Herrera (CRD #6021170) is a former registered broker and investment advisor, barred by FINRA. His last registered employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Union City, NJ. A customer dispute was filed by a client’s POA on 01/13/2018. The POA alleged that from 04/17/2018 through…

James Travis Flynn (CRD #3082615) is a former registered broker and investment advisor who has been suspended by FINRA after he failed to respond to a request for information. Flynn’s suspension is effective 6/25/2018, and unless he complies with the requests for information, he will be automatically barred on 9/4/2018.…

Bradley Joseph Tennison (CRD #1561988) is a former registered broker and investment advisor who has recently been barred by FINRA. He was last registered with Genos Wealth Management of Mesa, AZ. He was previously employed with Oberlin Financial Corp. (CRD #103717) of Bryan, OH, First Allied Securities, Inc. (CRD #32444)…

Several older investors reportedly fell victim to the scam, including a former police officer From 2013 to 2014, several senior citizens living in South Florida invested over $400,000 in Blue Ocean Farm, a fish farm company. Three purported financial professionals reportedly solicited funds for the farm – Rebecca Gonzalez and…

According to FINRA Disciplinary actions for August 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Lindsey Brown…