Articles Posted in Stockbroker Misconduct

Bryon Martinsen (Bryon Edwin Martinsen CRD# 1621649) is a currently registered broker and investment advisor employed with Centaurus Financial, Inc. (CRD #30833) of Kings Park, NY. Martinsen previously worked for AXA Advisors, LLC and The Equitable Life Assurance Society Of The United States, in New York, NY.  He has worked…

Jaime Westenbarger (Jaime Michael Westenbarger CRD# 4625703) is a currently barred broker who was last registered with Securities America, Inc. (CRD# 10205) in Grand Rapids, Michigan. Before Securities America, Westenbarger was registered with First Allied Securities, Inc. (CRD# 32444), American Portfolios Financial Services, Inc. (CRD# 18487), Invest Financial Corporation (CRD#…

Stockbrokers should not borrow money from their clients. That’s according to FINRA Rule 3240, which states that unless the stockbroker is an immediate family member or their firm has specific written procedures about borrowing and lending, then borrowing from a customer constitutes a violation. Silver Law Group helps investors recover…

Timothy Johnson (Timothy Edward Johnson, Jr. CRD #5701828) is a former registered broker and investment advisor whose last employer was MML Investors Services, LLC (CRD# 10409) of Lawrenceville, GA. Previous employers include Suntrust Investment Services, Inc. (CRD# 17499) of Atlanta, GA, and PNC Investments (CRD#:129052) of Suwanee, GA. He has…

Stephen Fry (Stephen Douglas Fry CRD: 2928258) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. (CRD#:421) of Germantown, TN. His previous employer was H.D. Vest Investment Services (CRD#:13686) of Cordoba, TN. He has been in the industry since 1998. As a…

Hugh Barndollar (Hugh Ordway Barndollar III, CRD #3027317, aka “Hobby Barndollar”) is a former registered broker and currently registered investment advisor last employed by Crown Capital Securities, L.P. (CRD#: 6312) of Land O’Lakes, FL. Barndollar was employed with Crown Capital until he voluntarily resigned on December 31, 2021. His previous employers…

Kevin Rainwater (Kevin Lamar Rainwater CRD#3098443) is a currently registered broker and investment advisor currently employed with Arkadios Capital (CRD#: 282710) of Atlanta, GA, since 2017. He was previously employed with Stancorp Equities, Inc. (CRD#:19517), also of Atlanta, and with Manequity, Inc. (CRD#:5249), of Boston, MA. He has been in…

John Wyshak (John Charles Wyshak CRD: #1272260) is a former registered broker and investment advisor. His last known employer was Raymond James & Associates, Inc. (CRD#:705) of Los Angeles, CA. His previous employers include Wedbush Securities Inc. (CRD#:877), also of Los Angeles, Ryan, Beck & Co., LLC. (CRD#:3248) of Florham…

Jeremy Rosen (Jeremy Seth Rosen CRD# 5513416) is a broker currently registered with Nationwide Planning Associates, Inc. (CRD# 31029) in Easton, Pennsylvania. Jeremy Rosen has multiple customer disputes alleging unsuitable investments. In the securities industry since 2008, he was previously registered with Berthel, Fisher & Company Financial Services, Inc. (CRD#…

Mark Cline (Mark Alan Cline CRD: #3206962) is a currently registered broker currently employed with National Securities Corporation (CRD#: 7569) of Wildwood, FL, employed since 2014. His previous employers include Great Nation Investment Corporation (CRD#:19981), United Equity Securities, LLC (CRD#:47261), and CCF Investments, Inc. (CRD#:136571), all of Fort Lauderdale, FL.…