Articles Posted in Stockbroker Misconduct

According to FINRA Disciplinary actions for April 2022, 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   Antonio Bestard…

According to FINRA Disciplinary actions for April 2022, 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…

Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of…

Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3/13/2020. He has been…

Michael Knittel (Michael Murray Knittel CRD# 3274235) is a currently registered broker and investment advisor whose last known employer is Fortune Financial Services, Inc. (CRD#:42150) of El Dorado Hills, CA. His previous employers include J.W. Cole Financial, Inc. (CRD#:124583) and Financial Advisers Of America, LLC (CRD#:142170), both of Folsom, CA,…

Joseph La Scala (Joseph Brian La Scala CRD# 3070261) is a registered broker and a previously registered investment advisor whose current employer is Aegis Capital Corp. (CRD#: 15007) of Melville, NY. His previous employers include Paulson Investment Company, Inc. (CRD#:5670), Gunnallen Financial, Inc. (CRD#:17609) of Hauppauge, NY, and Investec Ernst…

Anthony DiDonna (Anthony Vincent DiDonna CRD# 7283414) is a former registered broker last employed with Equitable Advisors, LLC (CRD#:6627) of Woodbury, NY. He began working in the industry with Equitable in 2020, and has no other employers of record. Equitable Advisors terminated DiDonna’s employment on 4/27/2021 for “unauthorized transactions and…

Ronald Molo (Ronald Terrence Molo CRD# 4371241) is a former registered broker and investment advisor whose last employer was Edward Jones (CRD#:250) of Joliet, IL. He began working for Edward Jones on 05/15/2001. The firm terminated him on 06/15/2021 and has no other employment in the industry. Following Molo’s termination,…

Johan Pereira (Johan Manuel Pereira CRD#: 6252881) is a former registered broker and investment advisor whose last known employment was with Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly, MA. His previous employers are Santander Securities LLC (CRD#:41791) of North Andover, MA, Citizens Securities, Inc. (CRD#:39550) of Wilmington, MA, and…

Jeremy Fortner (CRD# 4811478) is a former registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly Hills, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Sherman Oaks, CA, Chase Investment Services Corp. (CRD#:25574) of both Encino and Los…