Articles Posted in Stockbroker Misconduct

Silver Law Group is currently investigating Boston, MA and New York, NY based broker James S. Polese regarding complaints pertaining to failure to provide due diligence to investor clients, misrepresentation regarding client fees and security of investments, and misappropriation of client funds. Based on FINRA’s BrokerCheck report on Polese, a…

Silver Law Group is currently investigating Melville, NY based broker Joseph Francis Valdini regarding complaints pertaining to failure to provide due diligence to investor clients and placing unauthorized trades with subsequent margin call sellouts that caused major financial damages to investors. Based on FINRA’s BrokerCheck report on Valdini, a FINRA…

Silver Law Group is currently investigating Cleveland, Ohio based broker Joseph Daniel Krueger II regarding complaints pertaining to engaging in outside securities transactions by issuing and selling away promissory notes in the amount of $200,000 with his prior brokerage firm’s clients without notifying his prior brokerage firm. Based on FINRA’s…

Shane Jason Kelly (CRD# 3152000) was recently suspended by FINRA. He was previously registered as a broker and investment advisor, but currently has no registrations. His last known employer was IFP Advisors, Inc. (CRD# 125112) of Tampa, FL. Kelly’s previous employers include: LPL Financial, (CRD# 6413) of Port Lucie, FL,…

FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last employed with Lincoln Financial Advisor Corporation of Boca Raton, FL, from 03/05/2015 to 01/31/2018. He was previously employed by Putnam Retail Management Limited Partnership (CRD# 7325), of…

Craig Joseph Mardany (CRD#4356113), a currently registered FINRA broker and employed with Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Newport Beach, CA. He has been registered with this firm since 10/23/2009. He was previously registered with Banc of America Investment Services, Incorporated, (CRD# 16361) from 03/12/2001 through…

FINRA suspended former registered broker Gregory Alan LeVine (CRD# 2401300) indefinitely on 01/29/2018, pending a request for information. This suspension is indefinite, until LeVine provides FINRA the information requested from him, or until it is converted into a complete bar from financial services. LeVine is currently not registered with any…

FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) He is a previously registered broker, and is not currently registered with any FINRA member. His last place of employment was K.C. Ward Financial (CRD# 145135) of Ronkonkoma, NY from 03/05/2010 to 05/09/2017. Seda also worked for K.C.…

Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. He worked for LPL from 02/27/2012 to 10/18/2017. Previously, Gardner worked for: Raymond Jones Financial Services, Inc. (CRD# 6694) of Fort…

Lorene Fairbanks (CRD# 2788572) (aka “Lorene Fairbanks Miller,” “Lori Miller”) has been suspended by FINRA for five months due to allegations of an improper financial relationship with a client and improper communications. Her last registered employment was with Ameriprise Financial Services (CRD# 6363). She is not currently registered with any…