Articles Posted in Selling away

In September, we told you about Morgan Stanley brokers James Polese and 29-year-old Cornelius Peterson, who were found guilty of financial charges ranging from conspiracy to aggravated identity theft. They have both been sentenced in the case. James Polese has been sentenced to 60 months (five years) in prison after…

Mitchell Alan Kurtz (CRD #2437746) is a former registered broker and investment advisor whose last employer was Henley & Company LLC (CRD #131453) of Roslyn Heights, NY. His previous employers are Raymond James Financial Services, Inc. (CRD #6694), also of Roslyn Heights, and Advest, Inc. (CRD #10) of Hartford, CT.…

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.…

Ian Greenblatt (CRD #2276966, aka “Eric Green”) is a registered broker currently employed with Capitol Securities Management, Inc. (CRD #14169) of Melville, NY. His previous employers include Capitol Securities & Associates, Inc. (CRD #7278), Westrock Advisors, Inc. (CRD #114338, expelled by FINRA on 1/18/2011), both of Melville, NY and Weatherly…

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…

Silver Law Group is investigating former Pennsylvania-based Metlife Securities Inc. (CRD# 14251), also known as MSI Financial Services, Inc., broker Brian P. Murphy (CRD# 2953503) over allegations that he conducted outside business activities without the permission of his firm. According to Murphy’s FINRA BrokerCheck report, Signator Investors, Inc. (CRD# 468)…

Silver Law Group is investigating form Palm Bay, Florida-based Ameriprise Financial Services, Inc. (CRD# 6363) broker William B. Wyman (CRD# 4155621) after allegations that he sold away from his employing firm surface. According to Wyman’s FINRA BrokerCheck report, FINRA barred Wyman in January 2017 after he failed to request termination…

Silver Law Group is investigating former Pennsylvania-based Raymond James Financial Services, Inc. (CRD# 6694) Jeffrey S. Ingros (CRD# 2091822) after FINRA permanently barred him. The most recent trouble with Ingros came in February 2016 when Raymond James permitted Ingros to resign after Ingros disclosed to the firm that he accepted loans…

Silver Law Group is investigation former Tennessee-based Woodbury Financial Services, Inc. broker David A. Ross (CRD# 3021782) for allegedly failing to disclose an outside business activity and accepting loans from firm clients. According to Ross’s FINRA BrokerCheck report, Woodbury Financial Services (CRD# 421) discharged Ross in April 2016 for the…

Silver Law Group is investigating former Deerfield, Illinois-based Morgan Stanley Smith Barney broker Brian C. Sak (CRD# 3259830) after he was terminated for allegations that he placed customers in unapproved investments. According to Sak’s FINRA BrokerCheck Report, he was terminated on May 17, 2016 by Morgan Stanley (CRD# 149777) due…