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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for Aug 2022, 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
  Teresa Gomez   UBS Financial Services Inc.
  Pruco Securities, LLC
  Ann Montgomery   LPL Financial LLC
  National Planning Corporation
  Sean Winkler   Vanguard Marketing Corporation

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According to FINRA Disciplinary actions for Aug 2022, 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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Roger Arnold  PFS Investments Inc
  Jimmy Cheng   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Eddy Chou   Ameriprise Financial Services, LLC
  Wells Fargo Clearing Services, LLC
  Kara Gagnon   Global Atlanticv Distributors, LLC
  MetLife Investors Distribution Company
  Johana Jimenez
  Igor Kislitsa   PFS Investments Inc.
  Christopher McFadden   Equitable Advisors, LLC
  LPL Financial LLC
  John Molskness   Valic Financial Advisors, Inc.
  New England Securities
  Thomas Pfeiffer   MML Investors Services, LLC
  Chelsea Financial Services
  Emily Pich   Key Investment Services LLC
  Chase Investment Services Corp.
  Cari Spicer   Cavu Securities LLC
  Triton Pacific Securities, LLC
  Derick Strickland   Allstate Financial Services, LLC
  Khalil Watts   J.P. Morgan Securities LLC
  Chiu Wu   Ameriprise Financial Services, LLC
  Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for June 2022, 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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Robin Auguste   J.P. Morgan Securities LLC
  Yang Liang   NYLife Securities LLC
  Daniel Motola
  William Nicoloff, Jr.   Boustead Securities, LLC
  Bentley Securities Corporation
  Gregory Williams   Forta Financial Group, Inc.
  Morgan Stanley Smith Barney

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According to FINRA Disciplinary actions for June 2022, 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
  Dalila Costa-Leroy   Spartan Capital Securities, LLC
  National Securities Corporation
  Carlos Guzman   U.S. Bancorp Investments, Inc.
  Fifth Third Securities, Inc.
  Michael Leahy   First Standard Financial Company LLC
  Alexander Capital, L.P.
  Henry Moore   LPL Financial LLC
  Summit Brokerage Services, Inc.
  Michael Muratore   Benchmark Investments, LLC
  LPL Financial LLC
  Scott Reynolds   Avatar Securities, LLC
  Spartan Securities Group, Ltd.
  James Shelburne   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for June 2022, 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
  Kyleigh Haynes   Northwestern Mutual Investment Services, LLC
  Grant Hebeisen   U.S. Bancorp Investments, Inc.
  Ameriprise Financial Services, Inc.
  Carl Ippolito   Pruco Securities, LLC
  Eagleview Securities, Inc.
  Jaime Quintero   American Independent Securities Goup, LLC
  AFA Financial Group, LLC
  J-waun Smiley   Morgan Stanley
  Charles Schwab & Co., Inc.
  John Sommo   UBS Financial Services Inc.
  Wells Fargo Advisors, LLC
  Albert Tejada   Northwestern Mutual Investment Services, LLC

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According to FINRA Disciplinary actions for May 2022, 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
  Kevin Harms   Chelsea Financial Services
  Salomon Whitney Financial
  David Morris   Stifel, Nicolaus & Company, Incorporated
  UBS Financial Services Inc.
  Aleksandr Osaulenko   First Standard Financial Company LLC
  Alexander Capital, LP
  Yousuf Saljooki   Worden Capital Management LLC
  Salomon Whitney Financial

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Terms of a recent letter of Acceptance, Waiver, and Consent (AWC) that Aegis Capital Corp. submitted to FINRA require the New York-based broker-dealer to repay customers for alleged rule violations related to churning or excessive trading in customer accounts. Aegis was also ordered to pay monetary sanctions, and the AWC settled the claims, and Aegis does not admit or deny FINRA’s findings.  The AWC states that restitution is to be paid to certain customers “in the total amount of $1,692,256.44.”Terms of a recent letter of Acceptance, Waiver, and Consent (AWC) that Aegis Capital Corp. submitted to FINRA require the New York-based broker-dealer to repay customers for alleged rule violations related to churning or excessive trading in customer accounts.

Aegis was also ordered to pay monetary sanctions, and the AWC settled the claims, and Aegis does not admit or deny FINRA’s findings. Continue reading ›

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According to FINRA Disciplinary actions for April 2022, 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
  Mamdoh Abas   Cetera Advisor Networks LLC
  ProEquities, Inc.
  John Agostino   LPL Financial LLC
  Wells Fargo Advisors LLC
  Adam Schachter   PM Wealth Management LLC
  LPL Financial LLC

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According to FINRA Disciplinary actions for April 2022, 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
  Antonio Bestard   Edward Jones
  Morgan Stanley
  Kevin Burckhard   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc
  Darryl Cohen   Morgan Stanley
  Wells Fargo Advisors, LLC
  Odalis Duran   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Thomas Hagan   Morgan Stanley
  Wells Fargo Advisors, LLC
  Forrest Jones   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fortune Financial Services, Inc.
  Evan Jordan   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Bryan Richey   Eagle Strategies LLC
  NYLife Securities LLC
  Ebony Staples
  Jordan Whitacre   Arkadios Capital
  Triad Advisors LLC

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According to FINRA Disciplinary actions for April 2022, 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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Kyleigh Haynes   Northwestern Mutual Investment Services, LLC
  Grant Hebeisen   U.S. Bancorp Investments, Inc.
  Ameriprise Financial Services, Inc.
  Carl Ippolito   Pruco Securities, LLC
  Eagleview Securities, Inc.
  Jaime Quintero   American Independent Securities Group, LLC
  AFA Financial Group, LLC
  J-waun Smiley   Morgan Stanley
  Charles Schwab & Co., Inc.
  Albert Tejada   Northwestern Mutual Investment Services, LLC

Continue reading ›

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