Articles Posted in Stockbroker Misconduct

According to FINRA Disciplinary actions for November, 2024, 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 Helen Andrews Morgan Stanley Barclays Capital Inc. Vincent Fuchs Steward Partners Investment Solutions, LLC Raymond James…

According to FINRA Disciplinary actions for November 2024, 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. However, these individuals remain bound by…

According to FINRA Disciplinary actions for November 2024, 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 Zev Bishop Raymond…

Alan Mason (CRD# 1302190, a/k/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods & Co. LTD. (CRD# 13660) of New York, NY.  His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities,…

Ariel Rivero (CRD# 4236679, a/k/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer & Co. Inc. (CRD#:249), both of Miami,…

Sean Mostero (Sean Francis Mostero CRD# 6447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the…

Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of…

In June, two California-based brokers working for two different broker-dealers were suspended after separate accusations of elder fraud activities. Both individuals refused to supply FINRA with supporting documents and information after making the requests. Ronnie Rindon Dumag (CRD# 4783585) is a previously registered broker employed with PFS Investments Inc. (CRD#:10111) of…

Sharif Sharif (Sharif Azmi Sharif CRD# 2343413) is a previously registered broker and currently registered investment advisor last employed with LPL Financial LLC (CRD# 6413) of Elmhurst, IL. His previous employers include Woodbury Financial Services, Inc. (CRD# 421), also of Elmhurst, Axa Advisors, LLC (CRD# 6627) of Hinsdale, IL, and…

At the Public Investors Advocate Bar Association (PIABA) annual meeting in San Diego, California in September, 2024 Scott Silver was awarded the Outstanding Service Award, which according to PIABA is “given annually to a PIABA member (or members) demonstrating outstanding service and making significant contributions to PIABA while advancing the…