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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for April 2021, 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
  Tracy Adams   Avantax Investment Services, Inc.
  Ameriprise Financial Services, Inc.
  Jason Anderson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  LPL Financial LLC
  Solomon Apprey   Pruco Securities, LLC
  AXA Advisors, LLC
  Ronald Bartsch   Union Capital Company
  Liberty Partners Financial Services, LLC
  Spyridon Chandrinos   Millennium Advisors, LLC
  Nelson Polun   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jeffrey Sandwell   LPL Financial LLC
  National Planning Corporation
  Jon Scheier   Edward Jones

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According to FINRA Disciplinary actions for April 2021, 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
  John Arnold   Voya Financial Advisors, Inc.
  LPL Financial LLC
  Zachary Bader   National Securities Corporation
  Craig Scott Capital, LLC
  Peter Brown   Oppenheimer & Co. Inc.
  Bear, Stearns & Co. Inc.
  Riza Hernandez   Lincoln Financial Securities Corporation
  Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for April 2021, 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
  Adam Belardino   MML Investors Services, LLC
  MSI Financial Services, Inc.
  Trent Drake   Cambridge Investment Research, Inc.
  Pacer Financial, Inc.
  Nathaniel Eklund   J.P. Morgan Securities LLC
  Geneos Wealth Management, Inc.
  Idean Esfahani   Wells Fargo Clearing Services, LLC
  Adam Feierstein   Proequities, Inc.
  Woodbury Financial Services, Inc.
  Ngonidzashe Parirenyatwa   Wells Fargo Clearing Services, LLC
  Planco Financial Services, LLC
  Laquita Pettis   Wells Fargo Clearing Services, LLC
  George Stills Jr.   Securian Financial Services, Inc.
  AXA Advisors, LLC
  Tim Viohl   U.S. Bancorp Investments, Inc.
  LPL Financial LLC

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According to FINRA Disciplinary actions for March 2021, 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
  Christian Evans   Morgan Stanley
  Highland Capital Funds Distributor, Inc.
  Mark Grenier   David Lerner Associates, Inc.
  Maxim Group LLC
  Harry Lum Jr.   Horace Mann Investors, Inc.
  Allstate Financial Services, LLC
  Dorinda Lumpkin   BBVA Securities Inc.
  Timothy Melvin   Horace Mann Investors, Inc.

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According to FINRA Disciplinary actions for March 2021, 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
  Jason Allen   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Carl Birkelbach   Birkelbach Investment Securities, Inc.

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According to FINRA Disciplinary actions for March 2021, 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
  Ryan Callahan   State Farm VP Management Corp
  James Carpenter II   LPL Financial LLC
  Edward Jones
  James Childress   LPL Financial LLC
  Householder Group Financial Advisors, LLC
  Justyn Euan   Wells Fargo Clearing Services, LLC
  Nayely Gamez   Wells Fargo Clearing Services, LLC
  Igor Kislitsa   PFS Investments Inc.
  Hector Mejia   ADP Broker-Dealer, Inc.
  Yonay Perez   Wells Fargo Clearing Services, LLC
  Jorge Pica   Suntrust Robinson Humphrey, Inc.
  Stephens Inc.
  Rodney Repko   Lincoln Financial Advisors Corporation
  Valic Financial Advisors, Inc.
  Michael Swenson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Piper Jaffray & Co.

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According to FINRA Disciplinary actions for February 2021, 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
  Tracy Adams   Ameriprise Financial Services, LLC
  IDS Life Insurance Company
  Ronald Bartsch   Union Capital Company
  Liberty Partners Financial Services, LLC
  Lynn Cawthorne   Cambridge Investment Research, Inc.
  Investment Professionals, Inc.
  Jorge Guzman   Pruco Securities, LLC
  Nelson Polun   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Richard Ramos   Wells Fargo Clearing Services LLC
  Curtis Smiley   Primex
  Sandlapper Securities, LLC
  David Stateman   Allstate Financial Services, LLC
  AXA Advisors, LLC
  Dwight Sulc   B.B. Graham & Company, Inc.
  PFS Investments Inc.
  Alon Zak   Pruco Securities, LLC
  MML Investors Services, LLC

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According to FINRA Disciplinary actions for February 2021, 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
  Spyridon Chandrinos   Millennium Advisors, LLC
  Chelsea Flohr   J.P. Morgan Securities LLC
  Jon Foster   Wells Fargo Clearing Services, LLC
  Caleb Hutzler   LPL Financial LLC
  Northwestern Mutual Investment Services, LLC
  Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc.
  Intersecurities, Inc.
  Aaron Pierett   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wells Fargo Clearing Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for January 2021, 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
  Jason Anderson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  LPL Financial LLC
  Solomon Apprey   Pruco Securities, LLC
  AXA Advisors, LLC
  Harry Lum, Jr.   Horace Mann Investors, Inc.
  Allstate Financial Services, LLC
  Timothy Melvin   Horace Mann Investors, Inc.
  Jeffrey Sandwell   LPL Financial LLC
  Trilogy Financial Services
  Jon Scheier   Edward Jones

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