Articles Posted in Selling away

Arthur Hoffman (a/k/a Arthur Stewart Hoffman, “Art S. Hoffman”, CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman allegedly sold to his clients…

Gerald Dewes is a barred broker last registered with Cadaret, Grant & Co. in East Amherst, NY. Dewes’ record shows that in March, 2020 he was indefinitely barred from associating with a FINRA member firm in all capacities for failing to cooperate with an investigation related to a selling away…

Imran Razvi is a former broker who was last registered with Lincoln Financial Securities Corporation in Frederick, Maryland. Razvi was suspended by FINRA in 2020 after he consented to an entry of findings that he engaged in outside business activity that his member firm did not approve of. Before starting…

Masood Azad (Masood Husain Azad, CRD# 4798445) is a barred broker last registered with First Allied Securities, Inc. (CRD# 32444) in League City, Texas. He was previously registered with Voya Financial Advisors, Inc. (CRD# 2882). He had been in the industry since 2004. Masood Azad Disclosures Masood Azad has 5…

James Daughtry (James Blake Daughtry, CRD# 3272282) is a currently-barred broker who last worked for Kestra Investment Services, LLC in Dothan, Alabama. Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. He had been…

John Krohn (John Michael Krohn CRD#2722975) is a formerly registered broker who worked for Principal Securities, Inc. (CRD# 1137) at their West Des Moines, Iowa branch office. He had been in the securities industry since 1996. According to his CRD report, Mr.Krohn was a board member of Domiknow and Spotlight…

Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691). Silver Law Group represents investors in arbitration claims against UBS…

James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business…

Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. His previous employer was FMSBONDS, INC. (CRD#:7793), of North Miami Beach, FL. No current employment information is available. He has been…

Back in August, we told you about Bradley Joseph Tennison (CRD#: 156988), who was barred by FINRA after his discharge from Genos Wealth Management of Mesa, AZ. Tennison was discharged for “selling away,” the practice of offering and selling securities that are not offered by the broker’s firm of employment.…