Securities Arbitration Lawyers Blog

The Parking REIT recently announced that the board unanimously approved the suspension of all cash distributions and stock dividends, effective March 22, 2018.  Their press release states, ”The Board is focused on preserving capital in order to maintain sufficient liquidity to continue to operate the business and maintain compliance with…

According to FINRA Disciplinary actions for April 2018, 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   Robert Thomas Anderson   Wells Fargo Advisors, LLC   UBS Financial Services Inc   Li-Lin…

According to FINRA Disciplinary actions for April 2018, 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   Chelsea Lauren…

According to FINRA Disciplinary actions for April 2018, 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   Donald…

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…

Silver Law Group is investigating former Cuna Brokerage Services broker Stacy E. Cheney-Jamison after a customer filed an investment fraud claim against the brokerage firm. In March 2018, a customer filed an arbitration complaint against Cuna Brokerage Services (“Cuna”) in Georgia.  The customer complaint alleges several counts of wrongdoing, including…

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…