Articles Posted in Stockbroker Misconduct

Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the…

James Roy Paige (CRD# 1726609) is a broker and investment advisor currently registered with Wells Fargo Clearing Services, LLC (CRD# 19616) of Vero Beach, FL. Previously, he was registered with Morgan Stanley, (CRD# 8209 and CRD# 7556) also of Vero Beach, and Blinder, Robinson & Co., Inc. (CRD# 5096, no location…

Timothy Jefferson (CRD# 5004750, aka Tim Jefferson, Timothy Fleming Jefferson) is a previously registered broker and investment advisor last employed with Aegis Capital Corp. (CRD# 15007) of Brentwood, TN. His previous employers include Ameriprise Financial Services, LLC (CRD# 6363) and Metlife Securities Inc. (CRD# 14251), of Franklin, TN, and Metropolitan…

According to FINRA Disciplinary actions for October, 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 Jason Bostian Wells Fargo Clearing Services, LLC Morgan Stanley Helen Caldwell Wells Fargo Clearing Services, LLC…

According to FINRA Disciplinary actions for October 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 October 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 Fanar Almosleh U.S.…

Keith Dagostino (CRD# 2837860) is a broker currently registered with EF Hutton of Woodbury, NY. His previous employers include Aegis Capital Corp. (CRD# 15007) And Oppenheimer & Co. Inc. (CRD# 249), both of Melville, NY, and Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Oyster Bay, NY. He has been in…

According to FINRA Disciplinary actions for September 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 September, 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 John Boatright Newbridge Securities Corporation Summitt Brokerage Services, Inc. Robert Boyer Wells Fargo Clearing Services, LLC…

According to FINRA Disciplinary actions for September 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 Matthew Davis Charles…