Articles Posted in Stockbroker Misconduct

FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints.  He has since been subjected to a second customer dispute after being terminated. Dragon was last employed by Berthel Fisher & Company Financial Services, Inc. (CRD#…

Palm Beach, Florida-based Gary Edward Adkin (CRD# 3084484) is currently registered as a broker and investment advisor employed by Stifel, Nicolaus & Company, Incorporated (CRD# 793.) Adkin has been with the firm since 12/4/2015, and was previously employed by Barclay’s and Lehman Brothers. In addition to his current registration with…

Jason Eric Zwibel (CRD# 2460258, aka, Jay Bell Zwibel) is a registered broker and investment advisor with Garden State Securities (CRD# 10083) in Wellington, FL. He has been with Garden State since 1/22/2010. He has worked as a broker since 1994, and previously worked for: GunnAllen Financial, Inc. (CRD# 17609),…

Silver Law Group is currently looking into customer allegations against Logan Burch Phillips, Jr. (CRD #1248589.) Phillips is a previously registered broker who last worked as a broker for Raymond James & Associates (CRD #705) in Jackson MS, from 2013 to 2016. He was previously employed by Morgan Keegan &…

Silver Law Group is currently investigating former financial advisor and broker Scott William Palmer (CRD #817586) after multiple customer disputes. His last employer was Janney Montgomery Scott, LLC (CRD# 463) of Hackensack, NJ, from 03/02/2007 to 06/13/2017. Palmer is not currently registered as a broker or investment advisor, and no…

Silver Law Group is investigating former broker Edward Vincent Mirabella, Jr. (CRD #2843670) for multiple customer complaints.  His last known employer was National Securities Corporation in their Edison, NJ location (CRD #7569), from 08/24/2009 to 05/13/2016. Mirabella was previously employed with: Aura Financial Services (CRD #42822) in Islandia, NY, from…

Richard Shotz (CRD# 1681893) has been with Wells Fargo in Daytona Beach, Florida since 2016. He was recently terminated from Wells Fargo due to a FINRA regulatory action against him in which Shotz was suspended for four months and ordered to pay fines. FINRA found that Shotz engaged in an…

Melvin Case (CRD# 2393464) has been with LPL Financial in Jacksonville, Florida since 2008. In 2017, he was discharged from the firm in relation to a 2016 felony criminal charge in Duval County Circuit Court. Case pled guilty to exploitation of an aged adult and was sentenced to two years…

Kimberly Kitts (CRD# 2768200) has been with Royal Alliance Associates in Palmer, Massachusetts since 2004. In a regulatory action from 2017, FINRA found that Kitts failed to respond to a FINRA request for information. Kitts also failed to request termination of her earlier suspension within the allotted time. As a…

Kevin Graetz (CRD# 1935982) has been with Paulson Investment Company since 2013. In a regulatory action from 2016, FINRA found that Graetz willfully failed to timely disclose tax liens against him. Graetz owes over $1,000,000 in unpaid taxes to both the IRS and the State of Connecticut. As a result…