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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for February 2020, 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
  Cline, Kevin   Source Capital Group, Inc
  Ridgemont Securities, Inc
  Delaney, Maxwell   Brill Securities, Inc
  National Securities Corporation
  Henrich, Todd   National Securities Corp
  Obsidian Financial Group
  Garland, James   Garden State Securities
  Global Arena Capital Corp
  Kloskowski, Daniel   National Securities Corp
  Obsidian Financial Group, Inc
  Lowe, Brent   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith
  Ray, Aaron   Vanguard Capital
  Blue Vase Securities, LLC
  Spaventa, Andrew   SW Financial
  Network 1 Financial Securities
   Kraft, David   Morgan Stanley
  Wells Fargo Advisors
  Williams, Brian   Waddell & Reed
  Benjamin F. Edwards & Company

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According to FINRA Disciplinary actions for February 2020, 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
  Belesis, George   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Berghausen, Joseph   ADP Broker-Dealer, Inc
  Cetera Advisor Networks LLC
  Blount, Dustin   MML Investors Services, LLC
  Northwestern Mutual Investment Services, LLC
  Chu, Felix   NYLife Securities
  Choburn, Brian   Maxim Group LLC
  The Buckingham research Group Inc
  Drury, Michael   Stillpoint Capital, LLC
  United Business Brokers, Inc
  Nguyen, Hiep   Merrill Lynch, Pierce, Fenner & Smith Inc
  Citizens Securities, Inc
  Lee, Robert
  Ricker, Gregory    Westpark Capital, Inc
  National Securities Corp
  Rockwell, David   Cetera Advisor Networks LLC
  Suntrust Investment Services
  Ross, Paul   Hantz Financial Services, Inc
  Thrivent Investment Management Inc
  Schneck, Mark   Northwestern Mutual Investment Services, LLC
  MML Investors Services
  Zakarin, Eric   Lombard Securities Inc
  Independent Financial Group

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According to FINRA Disciplinary actions for January 2020, 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
  Bressman, Michael   FCG Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Dannenberg, Stephanie
  Dineen, Mary Ann   UBS Financial Services Inc.
  Fagenson, David   Newbridge Securities Corp
  UBS Financial Services Inc.
  Figueroa, Mark   Spartan Capital Securities, LLC
  Arive Capital Markets
  Freeman, Michael   Spartan Capital Securities
  Legend Securities, Inc
  Kopatz, Karen   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  Morgan, Gregory   Allstate Financial Services, LLC
  ProEquities, Inc
  Rayner, Wesley   Santander Securities LLC
  JP Morgan Securities
  Rodriquez, Jordan   NYLife Securities LLC
  Spyrka, Michael   Hold Brothers Capital
  Stow, Frederick   Raymond James & Associates
  Wells Fargo Advisors, LLC
  Taylor, Dennis   Taylor Capital Mgmt
  Independent Financial Group
 Tarner, Cynthia
  Wetherell, Mark   Kovack Securities Inc
  Invest Financial Corportion
  Wilk, Jason   Worden Capital Mgmt
  Craft Capital Mgmt
  Wright, Marcus   Farmers Financial Solutions, LLC
  JP Morgan Securities LLC

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According to FINRA Disciplinary actions for January 2020, 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
  Ajayi, Emmanuel   J.P. Morgan Securities LLC
  HSBS Securities (USA) Inc
  Arts, Christopher   Scarsdale Equities LLC
  Leeb Brokerage Services Group, Inc
  Bailey, Michael   PFS Investments Inc
  Bisch, Sarah   Santander Securities LLC
  Edward Jones
  Bishop, Tywan   Charles Schwab & Co., Inc
  E Trade Securities LLC
  Borja, Mauricio   Allstate Financial Services, LLC
  Encino, Stephen   NYLife Securities LLC
  Allstate Insurance
  Fries, Scott   Transamerica Financial Advisors
  NYLife Securities LLC
  Hegarty, Adrian   JP Morgan Securities LLC
  Morgan Stanley
  Kraft, David   Morgan Stanely
  Wells Fargo Advisors, LLC
  Madril, Michael   Wells Fargo Clearing Services, LLC
  McClellan, Richard   LPL Financial LLC
  MML Investors Services
  Murano, Marc   JP Turner & Company, LLC
  Navarre, Michael   Farmers Financial Solutions, LLC
  NYLife Securities
  Olsen, Blair   Lincoln Investment
  Legend Equities Corp
  Persaud, Susy
  Sandhu, Angrad
  Uwechue, Anthony   JP Morgan Securities LLC
  Chase Investment Services

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According to FINRA Disciplinary actions for January 2020, 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
  Callagy, Christopher   Aegis Capital Corp
  Oppenheimer & Co Inc
  Costanzo, Anthony   AXA Advisors, LLC
  Dininno, Matthew   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Dow, Rodrick   Securities America, Inc
  Cetera Financial Specialists LLC
  Eckstein, Matthew   Sisk Investment Services, Inc
  Gould, Ambroson & Associates LTD
  Fleming, David Jr.   Stifel, Nicolus & Company, Inc
  Sterne, Agee & Leach, Inc
  Kievman, Cary   Ameriprise Financial Services, Inc
  Morgan Stanley Smith Barney
  Krupnick, Jeffrey   Ameriprise Financial Services, Inc
  JHS Capital Advisors, LLC
  Lake, Jonathan   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  McCutchen, Jerry Sr.   Berthel, Fisher & Company Financial Services
  Next Financial Group, Inc
  Roveccio, Rocco   First Standard Financial Company LLC
  Alexander Capital, LP

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According to FINRA Disciplinary actions for April 2020, 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
  Timothy Crowley   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  David Del Rio   LPL Financial LLC
  Suntrust Investment Services, Inc.
  Christian Evans   Morgan Stanley
  Highland Capital Funds Distributor, Inc.
  Mary Frassetto   Thrivent Investment Management Inc.
  Jennifer Holmes   Voya Financial Advisors, Inc.
  ING Financial Partners,Inc.
  Yee Yee Htwe   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Farmers Financial Solutions, LLC
  Randy Jackson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  E*Trade Securities LLC
  Scott Levine   Craft Capital Management LLC
  PHX Financial, Inc.
  Megan McAlinden
  Hiep Quoc Nguyen   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Citizens Securities, Inc.
  Grizelle Perez   USCA Securities LLC
  Sanders Morris Harris LLC
  Michael Spyrka   Hold Brothers Capital LLC
  Koyote Trading LLC
  Jason Wilk   Worden Capital Management LLC
  Craft Capital Management LLC
  John Wyshak   Raymond James & Associates, Inc.
  Wedbush SecuritiesInc.

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According to FINRA disciplinary actions for April 2020, 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
  Joseph Berghausen   ADP Broker-Dealer, Inc.
  Cetera Advisor Networks LLC
  Stephanie Dannenberg
  Gregory Morgan   Allstate Financial Services, LLC
  ProEquities,Inc.
  Wesley Rayner   Santander Securities LLC
  JP Morgan Securities LLC
  David Rockwell   Cetera Advisor Networks LLC
  Suntrust Investment Services, Inc.
  Paul Ross   Hantz Financial Services, Inc.
  Thrivent Investment Management Inc.
  Mark Schneck   Northwestern Mutual Investment Services LLC
  MML Investors Services,LLC
  Cynthia Tarner
  Dennis Taylor   Taylor Capital Management Inc.
  Independent Financial Group, LLC

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According to FINRA Disciplinary actions for April 2020, 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
  Neal Carlson   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  Michael Carter   Morgan Stanley
  Ameriprise Financial Services, Inc.
  John Church   Waddell & Reed
  Cetera Advisor Networks LLC
  Gregory Clark   Burch & Company, Inc.
  Raymond James & Associates, Inc.
  Avelino Cortina III   AC3 Capital, LLC
  Wells Fargo Advisors,LLC
 William Despard   Morgan Stanley
  Citigroup Global Markets Inc.
  Michael Guilfoyle   Four Points Capital Partners LLC
  IFS Securities
  Kenneth Klaiman   Raymond James & Associates, Inc.
  Deutsche Bank Securities Inc.
  Paul Liebman   Wells Fargo Advisors Financial Network, LLC
  Oppenheimer & Co, Inc.
  Adam Morsi   Four Points Capital Partners LLC
  IFS Securities
  Gary Orcutt   Securities America Inc
  USAdvisors Wealth Management
  Vernon Sears, Jr.   Wells Fargo Clearing Services, LLC
  Raymond James & Associates, Inc.
  Damion Smith   Morgan Stanley
  UBS Financial Services Inc.
  Walter Sweatt II   Morgan Stanley
  Wells Fargo Advisors, LLC

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According to FINRA Disciplinary actions for March 2020, 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
  Michael Bressman   FCG Advisors, LLC
  Mary Ann Dineen   UBS Financial Services Inc.
  David Fagenson   Newbridge Securities Corporation
  UBS Financial Services Inc.
  Mark Figueroa   Spartan Capital Securities, LLC
  Arive Capital Markets
  Karen Kopatz   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Jordan Rodriguez   NYLife Securities LLC
  Frederick Stow   Raymond James & Associates, Inc.
  Wells Fargo Advisors, LLC
  Mark Wetherell   Kovack Securities Inc.
  Invest Financial Corporation
  Marcus Wright   Farmers Financial Solutions, LLC
  J.P. Morgan Securities LLC

Continue reading ›

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According to FINRA Disciplinary actions for March 2020, 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
  Barry Carson   Farmers Financial Solutions
  Lynn Cawthorne   Cambridge Investment Research, Inc.
  Investment Professionals, Inc.
  Prithviraj Dhandapani   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Davrion Hemphill
  Fernando Landicho   Transamerica Financial Advisors,Inc.
  World Group Securities, Inc.
  Megan McAlinden

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