Articles Posted in FINRA Disciplinary Actions

Silver Law Group is investigating former New York broker Matthew DiGregorio after FINRA permanently barred him. According to DiGregorio’s FINRA BrokerCheck report, FINRA permanently barred DiGregorio after he told FINRA staff that he does not intend to honor an award that a FINRA arbitration panel ordered him to pay to…

According to FINRA Disciplinary actions for February 2017, the following individuals were barred 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   Troy Christopher…

According to FINRA Disciplinary actions for February 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Michael Allen Becking   Wells Fargo Advisors, LLC   Chase Investment Services Corp.     Vladimir…

According to FINRA Disciplinary actions for February 2017, 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   Roberto Omar…

Silver Law Group is investigating former Arizona-based LPL Financial LLC (CRD# 6413) broker Dominic T. DeBruin (CRD# 2788196) after FINRA permanently barred the broker. According to DeBruin’s FINRA BrokerCheck report, FINRA permanently barred DeBruin from acting as a broker or otherwise associating with firms that sell securities to the public.…

Silver Law Group is investigating California-based Kestra Investment Services, LLC (CRD# 42046) broker Tom A. Puentes (CRD# 1713812) amidst 23 disclosures on his FINRA BrokerCheck report. According to Puentes’ FINRA BrokerCheck report, Puentes has a total of 23 disclosures, with 15 settling for over $750,000.  A large majority of the…

Silver Law Group is investigating former Miami, Florida EFG Capital International (CRD# 40118) broker Fernando de la Lama Merino (CRD# 2257749) after FINRA permanently barred him. According to Merino’s FINRA BrokerCheck report, FINRA initiated a regulatory action against Merino in October 2016.  The action states, according to Merino’s BrokerCheck report,…

Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…

Silver Law Group is investigating New Woodstock, New York-based National Securities Corporation (CRD# 7569) Leigh M. Garber (CRD# 2768572) after FINRA fined the broker $10,000 and suspended her for three months. According to Garber’s FINRA BrokerCheck report, in October 2016, FINRA and Garber entered into an Acceptance, Waiver & Consent…

According to FINRA Disciplinary actions for January 2017, the following individuals were barred 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   Debbie Sue…