Articles Posted in Stockbroker Misconduct

Alan Feigenbaum (Alan Scot Feigenbaum, CRD# 3132230) is a previously registered broker and investment advisor whose last known employer was Newbridge Securities Corporation (CRD#:104065) of Boynton Beach, FL. His previous employers were National Securities Corporation (CRD#:7569) and Prime Capital Services, Inc. (CRD#:18334), also of Boynton Beach. He has been in…

What would you do if your broker decided to move to a new firm? Would you follow them? What if you’re a broker who wants to change firms for good cause? Silver Law Group represents investors and individual financial advisors in claims against brokerage firms for misconduct relating to failure…

Dana Vietor (Dana Bruce Vietor CRD# 873129) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon…

James William Dunn, Jr. (CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. He was previously employed with Wells Fargo Clearing Services, LLC (CRD#:19616) of Arlington, VA, and Morgan Stanley (CRD#:149777) of McLean, VA. He has…

William LeBoeuf (CRD#: 2464080, aka “William W. Le Boeuf,” “Bill LeBeouf,” “William Walter LeBeouf”) is a former broker and investment adviser whose last known employer was Cetera Advisor Networks LLC (CRD#:13572) of Beavercreek, OH. His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH,…

According to FINRA Disciplinary actions for February 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…

According to FINRA Disciplinary actions for February 2022, 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   Christ Baltas   Worden Capital Management LLC   Wilmington Capital Securities, LLC   Timothy Flynn…

According to FINRA Disciplinary actions for February 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   Joshua Baker…

Robert Anthony Guidicipietro (CRD#: 1588069, aka “Robert A. Peters”) is a currently registered broker and investment advisor employed at Alexander Capital, L.P. (CRD#: 40077) of New York, NY. His previous employers include Arive Capital Markets (CRD#:8060) of Bay Ridge, NY, Aegis Capital Corp. (CRD#:15007), Holmdel, NJ, and Obsidian Financial Group,…

Alan Appelbaum (Alan Zelig Appelbaum, CRD# 500336) is a previously registered broker who last worked for Aegis Capital Corp. in their Boca Raton, FL office. Appelbaum previously worked for Herbert J. Sims & Co. Inc., Ryan, Beck & Co., LLC, Gruntal & Co., LLC, and several other firms. He had…