Articles Posted in finra arbitration lawyer

In August, we told you about former broker Sean Brady (CRD #4365173) who was recently barred by FINRA and discharged by his employer, First Allied Securities, Inc. (CRD #32444) of St. Louis, MO. Since our last report, eight more customer disputes were recently filed against Brady, between 6/28/2018 and 07/03/2018.…

Charles Lewis Bloom (CRD #4144108) is a former registered broker last employed by Chelsea Financial Services (CRD #47770) of Royal Palm Beach, FL. His previous employers include International Assets Advisory, LLC (CRD #10645) and IAA Financial LLC (CRD #6578) of West Palm Beach, FL, and U.S. Brokerage, Inc. (CRD #39307)…

Ralph Adams Bianchi (CRD #1513063) is a previously registered broker whose last known employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Flemington, NJ. His previous employers include The GMS Group, LLC (CRD #8000) of Livingston, NJ, and Moore & Schley, Cameron & Co. (CRD #6917). No current employment…

A man whose account was churned down to $10,000 was awarded both compensatory damages of $375,000 for his original investment plus an additional $700,000 in punitive damages. The client, Herbert W. Voss, was awarded $1.075 million by FINRA. Mr. Voss’ attorney was quoted as saying that “It was like the…

Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. Byer has a total of seven disclosures, all of them customer disputes. The most recent was filed…

Andrew Jason Mandell (CRD #194970) is a previously registered broker whose last employer was Network 1 Financial Securities Inc. (CRD #13577) of Oakland, CA. Previous employers include Olympus Securities, LLC (CRD #114050), Halcyon Cabot Partners, LTD. (CRD #32664, one of four previous employers expelled by FINRA, on 10/06/2015) and The…

Roger Kroeger (CRD #1526864) is a former registered broker and investment advisor who was employed with Invest Financial Corporation (CRD #12984) of Fort Lauderdale, FL for 27 years. He was previously employed with Glenfed Brokerage Services (CRD #13648) of Glendale CA and Shearson Lehman Hutton Inc. (CRD #7506). Although Kroeger…

Daniel Noah Winger (CRD #1542674) is a former registered broker whose last employer was PFS Investments Inc. (CRD #10111) of Federal Way, WA. No current employment information is available. He began in the industry in 1986. Winger was discharged by PFS on 8/10/2018 after a customer alleged that he took…

Dexter Leroy Thomas (CRD #1074222) is a formerly registered broker and investment advisor who was last employed with United Planners’ Financial Services Of America A Limited Partner (CRD #20804) of Dallas, TX. His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation…

Christopher David Sinkula (CRD #2001512) is a currently registered broker and investment advisor who is currently employed with Janney Montgomery Scott LLC (CRD #463) of Stuart, FL. His previous employers include Citigroup Global Markets Inc. (CRD #7059), also of Stuart, A. G. Edwards & Sons, Inc. (CRD #4) of St.…