Articles Posted in Unauthorized Trading

Christopher Lee Hibbard (CRD #3176484) is a previously registered broker and investment advisor who has been barred from association with any FINRA-associated broker. His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. His previous employers include Morgan Keegan…

Adam Goodman (CRD #2263780) is a currently registered broker and investment advisor employed by Stoever, Glass & Company Inc. (CRD #7031) of Boca Raton, FL. His previous employers include Herbert J. Sims & Co. Inc. (CRD #3420) and Wien Securities Corp. (CRD #10467.) He has been in the industry since…

Larry Wolfe is barred from association with any FINRA member in any capacity.  Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Wolfe consented to the…

Broker Ryan Michael Murnane (CRD #4784140) has been suspended by FINRA for failure to provide requested information. The suspension was enacted on 02/12/2018. Since no action has been taken in the three-month period, the suspension has become a bar as of April 20, 2018. Murnane’s last employer of record was…

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…

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,…

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…

Benjamin Aibel (CRD# 1994) has been with the Memphis, Tennessee branch of Wunderlich Securities since 2012. In a regulatory action from 2017, FINRA found that Aibel failed to respond to a FINRA request for information. Aibel also failed to request termination of his earlier suspension within the allotted time. As…

FINRA has barred Michael Alan Siegel (CRD# 1950871) from “acting as a broker or otherwise associating with a broker-dealer firm.”  Siegel was a previously registered broker and investment advisor and worked in the financial services industry since 1992. His last registered place of employment was with National Securities Corporation of…

Former broker Charles Albert Dixon, Jr. (CRD# 1660422) has been permanently barred by FINRA after a disciplinary action that was signed and completed on 1/22/2018. He is no longer allowed to work as a broker, associate with another broker or be affiliated with a broker-dealer firm. Dixon was discharged by…