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Articles Posted in FINRA Disciplinary Actions

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John-Aaron Lenhert is a former registered broker and investment advisor whose last (and only broker) employer was Morgan Stanley (CRD#:149777) of Laguna Nigel, CA. No current employment information is available. He has been in the industry since 2011.Morgan Stanley terminated Lenhert’s employment on 1/12/2017, after being notified of allegations that he borrowed money from three member firm clients, against FINRA and the firm’s policies.John-Aaron Lenhert is a former registered broker and investment advisor whose last (and only broker) employer was Morgan Stanley (CRD#:149777) of Laguna Nigel, CA. No current employment information is available. He has been in the industry since 2011.

Morgan Stanley terminated Lenhert’s employment on 1/12/2017, after being notified of allegations that he borrowed money from three member firm clients, against FINRA and the firm’s policies. Continue reading ›

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Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. (CRD#:46214) of New York, NY. His previous employers include Wunderlich Securities, Inc. (CRD#:2543), also of New York, J.P. Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. (CRD#:25574) of Yorktown Heights, NY. He has been in the industry since 2010.Minichino was the subject of two FINRA actions that ultimately led to his bar from working as a broker. The first was filed on 6/25/2018, in response to his failure to comply with an arbitration award and/or settlement agreement. He was suspended effective 9/13/2018 indefinitely, until the amount due is paid (which is not listed.) FINRA then sent two notices of suspension to Minichino, on 9/17/2018 and 10/11/2018. After failing to comply with a FINRA request for information and did not request a termination of his suspension, Minichino was then barred indefinitely effective 12/20/2018.Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. (CRD#:46214) of New York, NY. His previous employers include Wunderlich Securities, Inc. (CRD#:2543), also of New York, J.P. Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. (CRD#:25574) of Yorktown Heights, NY. He has been in the industry since 2010.

Minichino was the subject of two FINRA actions that ultimately led to his bar from working as a broker. The first was filed on 6/25/2018, in response to his failure to comply with an arbitration award and/or settlement agreement. He was suspended effective 9/13/2018 indefinitely, until the amount due is paid (which is not listed.) Continue reading ›

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Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.

On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. No additional information is available. Continue reading ›

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Sierra Alexandria Crocker, a previously registered who worked for Voya Financial Partners, was terminated following an arrest, then barred by FINRA.Sierra Alexandria Crocker (CRD #6725624) is a previously registered broker whose last known and only broker employer was Voya Financial Partners, LLC (CRD#:34815) of Jacksonville, FL. She began in the industry in 2016, and no current employment information is available.

Crocker’s employment with Voya was terminated on 03/02/2018 after she was arrested “for a violation of Section 817.034(4)(A)3 of the Florida Statutes for organized fraud.”  According to available arrest information, she was released on a $10,000 bond. Continue reading ›

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Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm.Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.

Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm. Continue reading ›

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According to FINRA Disciplinary actions for April 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
  Austin, Phillip   JP Morgan Securities
  Chase Investment Services
  Bishop, Tywan   Charles Schwab & Co
  E Trade Securities
   Delaney, Glen   Newbridge Securities
  Craig Scott Capital
  Erhart, Peter   Ameriprise Financial Services
  IDS Life Insurance Company
  Hafen, Herbert   Wells Fargo Clearing Services
  Morgan Stanley
  Anubhavm Jain   Goldman Sachs & Co
  Deutsche Bank Securities, Inc
  O’Neal, Tristan   Northwestern Mutual Investment Services
  Owen, Steven   PFS Investments Inc
  Ameriprise Financial Services
  Pico, Marc   LPL Financial LLC
  MML Investors Services
  Renison, Thomas   Horace Mann Investors, Inc
  Northwestern Mutual Investment Services
  Smith, Michael   Farmers Financial Solutions, LLC
  Trotter, Aaron   JP Morgan Securities LLC

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 April 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
  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Corp
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Bougopoulos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cardwell, Harlan   Prospera Financial Services
  Oxford Financial Group
  Cash, Robert   JP Morgan Securities LLC
  Golan, Rafael   Crystal Bay Securities
  Independent Financial Group, LLC
  Gomez, Edwin   PFS Investments Inc
  Primerica Financial Services
  Irazarry, Melissa   LPL Financial LLC
  Invest Financial Corporation
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Lastrapes, Lisa   Merrill Lynch, Pierce, Fenner & Smith Inc
  USAA Financial Advisors, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services
  Lee, Kevin   JP Morgan Securities
  AXA Advisors, LLC
  William Maurer   Voya Financial Partners
  Nye, Jason   The O.N. Equity Sales Company
  UBS Painewebber Inc
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities
  Soto, Rani   Prudential Investment Management
  AllianceBernstein Investments
  Stanley, Cornell Jr.   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, N.A.
  Tarica, Perry Jr.   Wells Fargo Clearing Services, LLC
  A. G. Edwards & Sons, Inc
  Torres, John   JP Morgan Securities

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 April 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
  Boj, Pedro   UBS Financial Services Inc
  BBVA Securities of PR
  Brooks, Carter   Wells Fargo Clearing Services LLC
  Edward Jones
  Lofaro, Patrick   Rockwell Global Capital LLC
  Dalton Strategic Investment Services
  Muniz, George   Legend Securities, Inc
  Meridian Equity Partners, Inc
  Norton, Robert   Wells Fargo Advisors Financial Network, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  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 March 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
  Barrera, Cynthia   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith
  Beyn, Edward   Rothchild Lieberman LLC
  Craig Scott Capital
  Blanchard, Keith   Waddell & Reed
  Block, Gabriel   First Standard Financial Co
  National Securities Corp
  Brown, Danard   Joseph Stone Capital
  First Standard Financial Co
  Eckstein, Matthew   Sisk Investment Services
  Gould, Ambroson & Associates
  Green, Mark   US Bancorp Investments
  Wells Fargo Advisors Financial Network
  Harris, Heath   Citigroup Global Markets
  Wells Fargo Clearing Services
  Hudgins, Sandra   Ameriprise Financial Services
  Merrill Lynch, Pierce, Fenner & Smith
  Jones, Alexander   LPL Financial
  Morgan Stanley
  Lanci, Sean   First Standard Financial Co
  Rothschild Lieberman
  McNutt, Jared   PNC Investments
  JP Morgan Securities
  Nunez, Michael   Morgan Stanley
  JP Morgan Securities
  Posillico, Paul   Aegis Capital Corp
  Obsidian Financial Group
  Powers, Dorothy   Ameriprise Financial Services
  IDS Life Insurance Co
  Preston, Duncan  
  Puricelli, Terrance   Wells Fargo Advisors
  Morgan Keegan & Co
  Rota, Dominic   Meyers Associates
  Rothschild Lieberman LLC
  Schreiner, Phillip   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith

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 March 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
  Ferree, Stuart   LPL Financial LLC
  Invest Financial Corporation
  Anderson, Andy   LPL Financial LLC
  Invest Financial
  Andrzejewski, Bryan   Dean Bradley Osborne Partners LLC
  Morgan Stanley & Co
  Detamore, Craig   Allstate Financial Services
  Donato, Scott   Morgan Stanley
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Jefferson, Vladimir   Wells Fargo Sevurities
  Johnson, Anthony
  Trager, Robert   PFS Investments
  Primerica Financial Services
  Whiting, David   Alternative Asset Investment Mgmt Securities
  HD Vest Investment Services

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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