Pratul Agnihotri (CRD#: 4031797, aka “Victor Agnihotri”) is a previously registered broker whose last known employer was SW Financial (CRD#:145012) of Melville, NY. His previous employers included Spartan Capital Securities, LLC (CRD#:146251) of New York, NY, Aegis Capital Corp. (CRD#:15007) of Melville, NY, and Gunnallen Financial, Inc (CRD#:17609) of New…
Securities Arbitration Lawyers Blog
FINRA Indefinitely Suspends Narinder Singh After Two Regulatory Actions
Narinder Singh (Narinder Kaur Singh CRD:# 3100308, aka “Narinder Dutt”) is a previously registered broker whose last known employer was Farmers Financial Solutions, LLC (CRD#:103863) of Sacramento, CA. Her previous employers include Proequities, Inc. (CRD#:15708), Transamerica Financial Advisors, Inc (CRD#:16164) and Oneamerica Securities, Inc. (CRD#:4173), all of Elk Grove, CA.…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December, 2020
According to FINRA Disciplinary actions for December 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. However, these individuals remain bound by…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December, 2020
According to FINRA Disciplinary actions for December 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 Katie Blando J.P. Morgan Securities LLC Wells Fargo Advisors, LLC Thomas Marino…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2020
According to FINRA Disciplinary actions for December 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 Michael Albarella…
Keith Simmons Subject of $8M Dispute For Unsuitable Investment Recommendations
Keith Simmons (Keith Frederick Simmons CRD: #730619) is a broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miami, FL. He has been with Merrill Lynch since 1981, and is registered in 30 states. Simmons is the subject of a customer dispute filed on 5/29/2020…
Troy Goldberg Subject Of Customer Disputes Totaling $640K Over Private Placements
Broker Troy Goldberg (CRD#: 2342989) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD#: 7569) of Boca Raton, FL. Previous employers include Brookshire Securities Corporation (CRD#:44347) and Newbridge Securities Corporation (CRD#:104065), both of Fort Lauderdale, FL and Preferred Securities Group, Inc. (CRD#:35704), also of Boca…
Stuart Pearl Accused Of Acting Without Client Permission
Stuart Pearl (Stuart L. Pearl CRD#: 1500833, aka “Stu Pearl”) is a currently registered investment advisor and previously registered broker whose last known employment was with David A. Noyes & Company (CRD#:205) of Indianapolis, IN. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup…
FINRA Bans Cynthia Cowden After Allegations Of Elder Financial Abuse
Cynthia Cowden (Cynthia Diane Cowden CRD#: 2054676) is a former registered broker and investment advisor whose last known employer was NPB Financial Group, LLC (CRD#:137743) of Lake Isabella, CA. Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. (CRD#:46214), also of Lake Isabella, and Advantage Capital…
FINRA Fines Cetera $1M, Issues Sanctions
FINRA has fined three Cetera-affiliated firms a total of $1M after failing to supervise a number of their representatives who were also affiliated with other registered investment advisors who were outside of the firms. The $1m figure is a compendium of fines divided by the firms: Cetera Advisor Networks LLC,…