A National Securities Arbitration & Investment Fraud Law Firm
Michael Patrick Nixon (CRD #216931) is a registered broker and investment advisor currently employed with Paulson Investment Company LLC (CRD #5670) of Tampa, Florida. His previous employers include Newport Coast Securities, Inc. (CRD #16944) and Meyers Associates, L.P. (CRD #34171), both of Leesburg, VA. Six of his previous employers have…
According to FINRA Disciplinary actions for January 2019, 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 Balas, Tami…
According to FINRA Disciplinary actions for January 2019, 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 Alfaro, Jennifer…
Walter Roland Valenzuela (CRD #2280224) is a registered broker and investment advisor currently employed with Hilltop Securities Inc. (CRD #6220) of Del Mar, CA. His only previous employer was M.L. Stern & Co., LLC. (CRD #8327) of San Diego, CA, where he worked until 2008. He has been in the…
According to FINRA Disciplinary actions for January 2019, 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 Ballard, Timothy Securities Americva National Planning Corp Cunningham, Christopher Fulcrum Securities…
Michael Christopher Venturino (CRD #5872439) is a registered broker currently employed with Spartan Capital Securities, LLC (CRD #146251) of Garden City, NY. His previous employers include Trident Partners Ltd. (CRD #41258) of Woodbury, NY and Aegis Capital Corp. (CRD #15007) of Melville, NY. Two other prior employers, Craig Scott Capital,…
Robin Michelle Wahby (CRD #2107629, aka, Robin Michelle Griswold) is a registered broker and investment advisor currently employed with NYLIFE Securities LLC (CRD #5167) of Jacksonville Beach, FL. She has been with NYLIFE since beginning in the industry in 1990. Wahby has one disclosure in her record, filed on 6/12/018.…
The SEC has ordered four entities of Transamerica to refund $97 million to investors after discovering that faulty investment models used for fund management didn’t work as it was purported. Aegon USA Investment Management, operating through Transamerica Asset Management, Transamerica Capital, Inc. and Transamerica Financial Advisors, discovered the model’s inconsistencies,…
Back in June, we told you about five former brokers charged by the SEC when the agency shut down their Ponzi scheme worth $102 million. Scott Silver recently spoke with Jennifer Cefalu of WHEC News in Rochester, NY, where two of the suspects lived and the scheme originated. The scheme…
Sebastian Wyczawski (CRD #2835135) is a registered broker currently employed with Joseph Stone Capital, LLC (CRD #159744) of Holbrook, NY. His previous employers include Cape Securities Inc. (CRD #7072), also of Holbrook, Liberty Partners Financial Services, LLC (CRD #130390) of Mount Pleasant, SC, and Milestone Financial Services, Inc. (CRD #43295)…