Articles Posted in Stockbroker Misconduct

David Del Rio (aka “Chico Del Rio”, CRD: #4771963) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of San Diego, CA. Previous employers include Suntrust Investment Services, Inc. (CRD#:17499) of Fort Meyers, FL, LPL Financial LLC (CRD#:6413) of Bellmore, NY, and…

On February 12, 2020, the Financial Industry Regulatory Authority (“FINRA”) permanently barred Ronald Hannes (Ronald Walter Hannes CRD# 1452241) from associating with any FINRA member in any capacity for refusing to cooperate with FINRA officials during their investigation of him for conversion of consumer funds. Hannes operated out of Hannes…

Pratul Agnihotri (CRD#: 4031797) is currently under investigation by FINRA authorities for violating several FINRA Rules: “Violation of FINRA Rule 2010 – conversion of investor funds; Violation of FINRA Rules 3270 and 2010 – engaging in an outside business activity without providing prior written notice to you FINRA member employer…

John Krohn (John Michael Krohn CRD#2722975) is a formerly registered broker who worked for Principal Securities, Inc. (CRD# 1137) at their West Des Moines, Iowa branch office. He had been in the securities industry since 1996. According to his CRD report, Mr.Krohn was a board member of Domiknow and Spotlight…

According to FINRA Disciplinary actions for February 2020, 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   DiLiberto, Jesse…

According to FINRA Disciplinary actions for February 2020, 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   Cline, Kevin   Source Capital Group, Inc   Ridgemont Securities, Inc   Delaney, Maxwell  …

According to FINRA Disciplinary actions for February 2020, 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: NAME FORMER EMPLOYERS   Belesis, George…

According to FINRA Disciplinary actions for January 2020, 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: NAME FORMER EMPLOYERS   Bressman, Michael…

According to FINRA Disciplinary actions for January 2020, 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   Ajayi, Emmanuel…

Broker Charles Dorraine (CRD# 70411) has been barred by FINRA (the Financial Industry Regulatory Authority) for refusing to give testimony about recommendations to customers about Puerto Rican bonds. It has been alleged that the bonds were unsuitable and customers were overconcentrated in them. Dorraine was last registered with Next Financial…