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Articles Posted in FINRA Disciplinary Actions

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The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients. According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases.The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients.

According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases. Continue reading ›

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According to FINRA Disciplinary actions for July 2019, 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
  Bender, Charles III   Suntrust Investment Services, Inc
  JP Morgan Securities LLC
  Bingham, Daniel   Essex Securities LLC
  Investors Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities, Inc
  D’Meo, James   Kenneth, Jerome & Co, Inc
  Equity Services, Inc
  Gallacher, David   LPL Financial LLC
  AG Edwards & Sons Inc
  Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Associates
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gurrola, Kenneth   Muriel Siebert & Co., Inc
  Kaufman Bros, LP
  Harris, Adrianna   Charles Schwab & Co., Inc
  Hose, Audrey   UBS Financial Services Inc
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services, Inc
  Laishes, Brian   Investacorp, Inc
  Commonwealth Financial Network
  May, Timothy   One America Securities, Inc
  Signator Investors, Inc
  Noto, Philip   First Standard Financial Company
  Alexander Capital, LP
  Saljooki, Yousuf   Worden Capital Management LLC
  SW Financial
  Scarfone, Bryce   HSBC Securities
  Siegel, Craig   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Roger Takami   Voya Financial Advisors, Inc
  LPL Financial Corporation
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors, Inc
  Kestra Investment Services, LLC
  Zhang, Xtangyu   Wells Fargo Clearing Services, LLC
  LPL Financial LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for July 2019, 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
  Bang, Gregory   NYLIfe Securities LLC
  Block, Gabriel   First Standard Financial Company
  National Securities Corporation
  Cardwell, Harlan III   Prospera Financial Services, Inc
  Oxford Financial Group
  Duchan, Patricia   UBS Financial Services Inc
  Golan, Rafael   Crystal Bay Securities Inc.
  Independent Financial Group, LLC
  Kane, Jordan   Citizens Securities, Inc
  Martinez, Joseph   Pruco Securities, LLC
  The Prudential Insurance Company of America
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities, Inc
  Weldon, Benjamin   State Farm VP Management Corp

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for July 2019, 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
  Deblois, Matthew   The Champion Group, Inc
  McNally Financial Services Corp
  Dewaay, Donald Jr.   Dewaay Financial Network, LLC
  VSR Financial Services, Inc
  Freeman, Michael   Spartan Capital Securities, LLC
  Legend Securities, Inc
  Fuzie, Cindy   Morgan Stanley
  MML Investors Services, LLC
  Hernandez, Evelyn   Morgan Stanley
  Chase Investment Services
  Barry, Jin   Spartan Capital Securities, LLC
  Lampert Capital Markets Inc
  LaVolpe, Michael   Meyers Associates, LP
  Leonard, William   JH Darbie & Co, Inc
  BMS Securities, LLC
  Walsworth, Peter   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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According to FINRA Disciplinary actions for June 2019, 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
  Andrews, Carolyn   UBS Financial Services Inc.
  Morgan Keegan & Company, Inc
  Avent, Meiewyn   Alliance-One Investments, LLC
  Metlife Investors Distribution Company
  Bougopoulkos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cook, Marian   Farmers Financial Solutions, LLC
  Corley, Robert   Fidelity Brokerage Services LLC
  Redstone Securities, Inc
  Detamore, Craig   Allstate Financial Services, LLC
  Dysart, Jennifer
  Friedman, Steven   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Garcia, Francisco   Park Avenue Securities
  EQ Financial Consultants Inc
  Griffin, Sparkle   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Heilman, Peter   Edward Jones
  High, Robert   First Financial Equity Corp
  Chase Investment Services Corp
  Irizarry, Melissa   LPL Financial LLC
  Invest Financial Corp
  LaBare, Richard   Union Capital Company
  Morgan Stanley & Co Inc
  Mariampolski, Arnold   AXA Advisors
  Ohel, Ziv   CFD Investments, Inc
  Ameriprise Financial Services, Inc
  Ortega, James   Allstate Financial Services, LLC
  Powers, Robert   Emerging Growth Equities, LTD
  Roth Capital Partners, LLC
  Rubio, Miguel   State Farm VP Management Corp
  Soto, Rani   Prudential Investment Mgmt Services LLC
  Alliance Bernstein Investments, Inc
  Thompson-Owens, Terrell
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Yasso, Brandon   JP Morgan Securities LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for June 2019, 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
  Andrews, Helen   Morgan Stanley
  Barclays Capital Inc
  Andreyeva, Tatyana   Westpark Capital, Inc
  Fordham Financial Management, Inc
  Basarian, Gary   Royal Alliance Associates, Inc
  Integrated Resources Equity Corp
  Bowen, Heath   Allegis Investment Services, LLC
  Signator Financial Services, Inc
  Cohen, Michael   Dinosaur Financial Group, LLC
  IFS Securities
  Gendlek, Francis   IFS Securities
  TFS Securities, Inc
  Hartnett, Richard   Morgan Stanley
  CIBC World Markets Corp
  Kanoy, Anson   Raymond James & Assoc, Inc
  Wells Fargo Advisors, LLC
  Miller, Eric   Scottsdale Capital Advisors Corp
  Rocky Mountain Securities & Investments, Inc
  Murray, Stephen   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  Ramcharran, Rameshwar   Ameriprise Financial Services, Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Romer III, Ernest   Corecap Investments, Inc
  L.M. Kohn & Company
  Rumayor, Juan   Farmers Financial Solutions, LLC
  HSBS Securities (USA) Inc
  Salcedo, Alex   Scottrade, Inc
  Wells Fargo Clearing Services, LLC
  Webb, James Jr.   Citigroup Global Markets Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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According to FINRA Disciplinary actions for June 2019, 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
  Anderzejewski, Bryan   Dean Bradley Osbourne Partners LLC
  Morgan Stanley & Co Inc
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Gennity, William   First Standard Financial Company
  Alexander Capital, LP
  Gomez, Edwin   PFS Investments Inc.
  Primerica Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services, Inc
  Won Lee, Kevin   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maurer, William   Voya Financial Partners, LLC
  Nye, Jason   The O.N. Equity Sales Company
  UBS Paine Webber Inc.
  Sercia, Anthony   Traderfield Securities, Inc.
  Legend Securities, Inc
  Torres, John   JP Morgan Securities LLC
  Wells Fargo Bank
  Whiting, David   Alternative Asset Investment Mgmt. Services
  HD Vest Investment Services

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

 

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Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. Hafen’s previous employers include Morgan Stanley (CRD#:149777 and CRD#: 8209), and Bear Sterns (CRD#: 79), also of New York City. He has been in the industry since 1979. Hafen was discharged by Wells Fargo on 8/21/2018, after “entering into financial arrangements with clients that were not approved by the firm.”Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. Hafen’s previous employers include Morgan Stanley (CRD#:149777 and CRD#: 8209), and Bear Sterns (CRD#: 79), also of New York City. He has been in the industry since 1979.

Hafen was discharged by Wells Fargo on 8/21/2018, after “entering into financial arrangements with clients that were not approved by the firm.” Continue reading ›

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Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. His previous employer was FMSBONDS, INC. (CRD#:7793), of North Miami Beach, FL. No current employment information is available. He has been in the industry since 2016.Merrill Lynch discharged Hellman on 9/20/2018 after he was found to be selling away (selling products not sold or endorsed by the firm) and failing to disclose outside business activities he was involved in while employed.Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. His previous employer was FMSBONDS, INC. (CRD#:7793), of North Miami Beach, FL. No current employment information is available. He has been in the industry since 2016.

Merrill Lynch discharged Hellman on 9/20/2018 after he was found to be selling away (selling products not sold or endorsed by the firm) and failing to disclose outside business activities he was involved in while employed. Continue reading ›

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Adam Michael Lopez (CRD#: 5562750) is a former registered broker who was last employed with Country Capital Management Company (CRD#:12060) of Springfield, IL, from 09/16/2008 through 09/21/2018. No current employment information is available. He has been in the industry since 2018.Country Capital terminated Lopez on 9/21/2016 for violations of provisions in his insurance services contract. His actions were not related to securities, and his U5 termination form was later updated to include an investigation by a “domestic or foreign governmental body or self-regulatory organization with jurisdiction over investment-related business.”Adam Michael Lopez (CRD#: 5562750) is a former registered broker who was last employed with Country Capital Management Company (CRD#:12060) of Springfield, IL, from 09/16/2008 through 09/21/2018. No current employment information is available. He has been in the industry since 2018.

Country Capital terminated Lopez on 9/21/2016 for violations of provisions in his insurance services contract. His actions were not related to securities, and his U5 termination form was later updated to include an investigation by a “domestic or foreign governmental body or self-regulatory organization with jurisdiction over investment-related business.” Continue reading ›

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