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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for January 2017, 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
  James Patrick Acosta   Citigroup Global Markets Inc.
  Morgan Stanley Smith Barney
  Terrence Daniels   MSI Financial Services, Inc.
  Ameriprise Financial Services, Inc.
  Darnell Anthony Deans   Blackbook Capital, LLC
  John Carris Investments LLC
  Barbara Lucille Desiderio   Global Arena Capital Corp
  Herbert J. Sims & Co. Inc.
  Joseph Ellison   Mutual  Securities, Inc.
  Beverly Hills Wealth Management LLC
  Niaz Elmazi   Global Arena Capital Corp
  HFP Capital Markets LLC
  Brian Joseph Hagerman   Global Arena Capital Corp
  Equities Trading Corp
  Candice Joy Hutton   Hutton Wealth Management Servcies, LLC
  Cambridge Investment Research, Inc.
  Gregory Marcel Martino   Blackbook Capital LLC
  Coastal Equities, Inc.
  Jeffrey Allen Rehling   Lincoln Financial Advisors
  Morgan Stanley Smith Barney
  Keith Patrick Sequeira   Royal Alliance Associates, Inc.
  Wells Fargo Advisors, LLC
  Penne Wilson Stafford   Woodbury Financial Services, Inc.
  LPL Financial LLC
  Vincent Evan Wilson   Wilbanks Securities, Inc.
  Wells Fargo Advisors, 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 January 2017, 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
  Kristen Denys Bartley   Morgan Stanley Smith Barney
  Touchstone Securities, Inc.
  Jasper Eugene Boykin Jr.   MetLife Securities Inc.
  Quest Capital Strategies, Inc.
  Kathy Campos
  Louis Vincent Fontanella Jr.   Allstate Financial Services, LLC
  David Lerner Associates, Inc.
  Yohandy Gonzalez   J.P. Morgan Securities LLC
  AXA Advisors LLC
  Michael P. Gopie   AXA Advisors LLC
  Bank of America, NA
  Dennis Dewain Hern   Ameriprise Financial Services Inc.
  First Command Financial Planning INc.
  Bao Tran Dinh Hoang   JP Morgan Securities LLC
  Chase Investment Services Corp
  Christopher Wayne Hunt II
  Kyle Ryan Kurtz   Thrivent Investment Management Inc.
  Lutheran Brotherhood Securities Corp.
  Reginald Lewis McCarthy   Horace Mann Investors, Inc.
  Allstate Financial Services LLC
  Caleb Layton Morris   Country Capital Management Company
  Country Insurance and Financial Services
  Brian Patrick Murphy   Signator Investors, Inc.
  MetLife Securities Inc.
  Wesley Marion Oler IV   LPL Financial LLC
  Global Retirement Partners
  Raymond John Pirrello Jr.   Garden State Securities Inc.
  The Concord Equity Group, LLC
  Richard Byron Raff   Infinex Investments, Inc.
  M&F Bank/UVest Financial Services
  Gary Harland Sisler Jr.   Morgan Stanley Smith Barney
  Northwestern Mutual Investment Services LLC
  Jay Steven Sutherland   Ameriprise Financial Services Inc.
  Wells Fargo Advisors LLC
  Quyen Trong Tran   UnionBanc Investments Services LLC
  Joe Don Treece   Arvest Wealth Management
  Raymond James & Associates, 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.

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Cetera Investment Services, LLC (CRD# 15340) entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA after the regulatory body alleged it failed to notify account owners regarding changes to their account records.

According to the AWC, from October 1, 2008 through November 15, 2013, Cetera failed to mail or otherwise furnish 57,881 notifications to account owners of record regarding changes to their accounts, including, changes in the name of the account holder, address changes and more importantly, investment objective changes in the account.  The significance of this that any change in the investment objectives in the account would affect what would be considered a suitable investment.

As part of the AWC, Cetera agreed to a censure and a fine in the amount of $75,000.  Since Cetera’s formation in November 2012, it has been subject to nine (9) disclosures on its FINRA BrokerCheck report.

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According to FINRA Disciplinary actions for December 2016, 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
  Troy Christopher Baldridge   Capitol Securities Management, Inc.
  Anderson & Strudwick, Inc.
  Michael Banjany   National Securities Corporation
  J.P. Morgan Securities LLC
  William Joseph Broccio   Meyers Associates, L.P.
  Blackbook Capital, LLC
  Michael James Coolican IV   LPL Financial LLC
  Edward Jones
  Brian Michael Gamard   Spartan Capital Securities, LLC
  John Thomas financial
  Brian Marc Kennison   U.S. Bancorp Investments, Inc.
  Financial West Group
  Laurence H. King   Legend Securities, Inc.
  Domestic Securities, Inc.
  Jonathan H. Lowell  
  Farid Morim   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Neil David Pecker   Coastal Equities, Inc.
  Westpark Capital, Inc.
  Jean Paul Pierre  
  Michael Quiles III   LPL Financial LLC
  MetLife Securities Inc.
  Peter Michael Riley   Morgan Stanley
  UBS Financial Services Inc.
  Robert Shaffer   Fordham Financial Management, Inc.
  PHX Financial, Inc.
  Patrick Justin White Sr.   Laidlaw & Company (UK) Ltd.
  BlackBook Capital 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 December 2016, 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
  Keeland Douglas Howe   Wells Fargo Advisors, LLC
  UBS Financial Services Inc.
  Christopher Lawrence Love   LPL Financial LLC
  Wells Fargo Advisors, LLC
  James Michael Roberts   Cullum & Burks Securities, Inc.
  WFP Securities
  Cary Rosenfeld   Chase Investment Services Corp.
  Wells Fargo Investments, 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 December 2016, 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
  Maricela Alvarez   JP Morgan Securities LLC
  Rushton Leigh Ardrey III   Newport Coast Securities, Inc.
  White, Weld & Co. Securities, LLC
  Terry Stephen Carraher   Allstate Financial Services, LLC
  Scott Thomas Cross   MML Investors Services, LLC
  Raymond James & Associates, Inc.
  Christopher Jeffrey Daniel   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Charles Schwab & Co., Inc.
  Nancy Elaine De Leeuw  
  Paul Edward Dorion   LPL Financial LLC
  Nathan & Lewis Securities, Inc.
  John Ezmat   AXA Advisors, LLC
  Noel Fleming   Revere Securities LLC
  Jesup & Lamont Securities Corp
  Salvatore Gioe   Chelsea Financial Services
  Avenir Financial Group
  Stephen Duncan Grant   Security Research Associates, Inc.
  Legend Merchant Group , Inc.
  James Walter Ignatowich   Newbridge Securities Corporation
  Investors Capital Corp
  EvaJean Marie Jackson   Equinox Securities, Inc.
  Dana Liesl McMillin   Jackson National Life Distributors LLC
  Myrna Margarita Perez   Morgan Stanley
  Robin Thomas Pledger   State Farm VP Management Corp
  Robinson Rodriguez   J.P. Morgan Securities LLC
  Michael Alan Siegel

 

   National Securities Corporation
  Concorde Investment Services, LLC
  Stewart Field Smith   Center Street Securities, Inc.
  Questar Capital Corporation
  Donald Shelby Toomer   Wells Fargo Advisors Financial Network, LLC
  RBC Dain Rauscher Inc.
  Frank Rowlin Underhill Jr.   Underhill Securities Corp.
  DRF Business and Financial Services, LLC
  Travis Michael Vandermale   Farmers Financial Solutions, LLC
  Cheryl Lynn Wallace   Ameriprise Financial Services, Inc.
  Edward Jones
  Cinday Ah Ran Yi  
  Julie Marie Ziolkowski   Fidelity Brokerage Services 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 Nov 2016, 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
  Juan C. Alejos   Spartan Capital Securities, LLC
  Charles Morgan Securities, Inc.
  Fontaine Boutwell   Allstate Financial Services, LLC
  Hornor, Townsend & Kent, Inc.
  Matthew Michael Cocco   Metlife Securities Inc.
  Perry De Leeuw   PFS Investments Inc.
  Primerica Financial Services
  Assan Faal   Stifel, Nicolaus & Company, Inc.
  Sterne, Agee & Leach, Inc.
  Judan Mae Flanagan   J.P. Morgan Securities, LLC
  Dean Scott Friedman   Syndicated Capital, Inc.
  Wedbush Morgan Securities Inc.
  Bryon Timothy Glime   Capital Investment Group, Inc.
  Suntrust Investment Services, Inc.
  Behnam Halali   Allstate Financial Services, LLC
  MML Investors Services LLC
  Garland Sean James   Garden State Securities, Inc.
  Global Arena Capital Corp.
  Kalid Morgan Jones   Joseph Gunnnar & Co. LLC
  National Securities Corporation
  Vicken Kassouny   J.P. Morgan Securities LLC
  NYLife Securities LLC
  Edward Hyunsoo Kim   Weild & Co.
  Prudential Securities Inc.
  Justin Anthony Krutsinger   PFS Investments Inc.
  Primerica Financial Services
  Tucker Robert Kunkel
  Kola Lulgjuraj   J.P. Morgan Securities LLC
  Rhonda Janeen Mattews   Prospera Financial Services, Inc.
  Wells Fargo Advisors Financial Network LLC
  Jared Howard Morgan   Suntrust Investment Services, Inc.
  NYLife Securities LLC
  Shaun Thomas Nagle   Comprehensive Asset Management and Servicing, Inc.
  Linsco/Private Ledger Corp.
  John Howard Pemberton   Ameriprise Financial Services, Inc.
  Securities America, Inc.
  Barbara E. Rein
  Barbara B. Rustici   Avenir Financial Group
  Rockwell Global Capital LLC
  Melba Reyes Talbot   Lifemark Securities Corp.
  Independent Financial Partments
  Jonathan Andrew Trotman   J.P. Morgan Securities LLC
  Daniel Benjamin Vasquez Sr.   Cetera Advisors LLC
  Investors Capital Corp.
  Martinnette Jeske Witrick   Kota Global Securities Inc.
  XP Securities, LLC
  Hannan Zafar
  Lance Jeffrey Ziesemer   Feltl & Company
  Wachovia 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 November 2016, 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
  Scott Patrick Alcus   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Richard Edward Bohack   Rockwell Global Capital LLC
  Global Arena Capital Corp.
  John Andrew Bredderman   Oppenheimer & Co. Inc.
  UBS Financial Services Inc.
  Jon Christian Coleman   Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Edward Jones
  Jay Todd Eurich   Morgan Stanley Smith Barney
  Michael Dennis Hampton   LPL Financial LLC
  Ameriprise Financial Services, Inc.
  John Harold Lohmeier  
  Daniel Joseph Moniz   Revere Securities LLC
  Newport Coast Securities, Inc.
  Jay Steven Sutherland   Ameriprise Financial Services, Inc.
  Wells Fargo Advisors, LLC
  Thomas John Tedeschi   Joseph Stone Capital LLC
  Blackbook Capital LLC
  John Joseph Tillger, Jr.   CV Brokerage, Inc.
  Wharton Equity Corporation
  James Frederick Venditti   Infinex Investments, Inc.
  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 November 2016, 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
  Debbie Sue Arnold   Farmers Financial Solutions, LLC
  Bridgett Elizabeth Beard
  Shawn Aaron Bedford   Edward Jones
  Jasper Eugene Boykin Jr.   MetLife Securities Inc.
  Quest Capital Strategies, Inc.
  Samuel David Campos   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Ladonna Carlisle
  Nichele Alexis Cavins
  Munaem Choudhury   Chelsea Financial Services
  Brookstone Securities, Inc.
  Shannon Kathleen Daniels   U.S. Bancorp Investments, Inc.
  Commerce Brokerage Services, Inc.
  Johnathan Roth Ellis   Pruco Securities, LLC
  Daniel Erlichman   KGS-Alpha Capital Markets, L.P.
  BNP Paribas Securities Corp.
  Michael Joseph Farinella   Allstate Financial Services, LLC
  Michael P. Gopie   AXA Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Ricky Reid Harris, Jr.   J.P. Morgan Securities LLC
  Erik Scott Jacobsen   Cambridge Investment Research, Inc.
  Wells Fargo Advisors, LLC
  Andrew Scott Jensen   Hornor, Townsend & Kent, Inc.
  AXA Advisors, LLC
  Tedla Ebou Khan   Goldman, Sachs & Co.
  Bilal Samouri McClendon   Equinox Securities, Inc.
  J.P. Turner & Company, LLC
  Sekou Mansur McClendon   Equinox Securities, Inc.
  Cape Securities Inc.
  Christopher Vincent Paul   Joseph Stone Capital LLC
  Aegis Capital Corp.
  Patrick Lee Perales   Wells Fargo Advisors, LLC
  Herndon Plant Oakley, Ltd.
  Bryan Dnaiel Quigley   MetLife Securities Inc.
  New England Securities
  Michael Quiles III   LPL Financial LLC
  MetLife Securities Inc.
   Jennifer Rainwater
  Kimberly Charisse Rice   Fidelity Brokerage Services LLC
  Theodore Gerald Rothman   First Allied Securities, Inc.
  Rothman Securities, Inc.
  Craig Clifford Ruschmeyer   Feltl & Company
  Wells Fargo Advisors, LLC
  Jon Brett Schmidhammer   Stifel, Nicolaus & Company, Inc.
  Merrill Lynch, Pierce, Fenner &Smith Inc
  David Garrett Shaw   Private Advisor Group, LLC
  LPL Financial LLC
  Gary Harland Sisler Jr.   Morgan Stanley Smith Barney
  Northwestern Mutual Investment Services, LLC
  Ladd W .Tanner   Trustmont Financial Group, INc.
  Gunnallen Financial, Inc.
  Dang Hung To   Wells Fargo Advisors, LLC
  Quyen Trong Tran   UnionBanc Investment Services, LLC
  Michael Vetere   Hornor, Townsend & Kent, Inc.
  NYLife Securities LLC
  Kuana Nicole Vick   First Citizens Investor Services, Inc.
  Larry Phillip Vogel   IFS Securities
  Ausdal Financial Partners, 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.

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According to FINRA Disciplinary actions for Oct 2016, 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
  Kamran Azim   The Huntington Investment Company
  Mohamed Baksh   PFS Investments Inc.
  Primerica Financial Services
  David F. Bouchard  
  Alina Brindusescu   US Bancorp Investments, Inc.
  HSBC Securities (USA) Inc.
  James Lee Carpenter   Sagepoint Financial, Inc.
  Next Financial Group, Inc.
  Donna Chen   Sunbelt Securities, Inc.
  Ameriprise Financial Services, Inc.
  Marcus Joseph Debaise   Wells Fargo Advisors, LLC
  Prudential Securities Inc
  Robert Philip DePalo   McBarron Capital LLC
  Arjent Ltd.
  Phillip David Donnan   AXA Advisors, LLC
  Kristen Mae Fitzhugh   PNC Investments
  AXA Advisors, LLC
  Yitzhok Alexander Fox   Ditto Trade, Inc.
  A.B Watley Direct, Inc.
  Yosef Yehuda Fox   Ditto Trade, Inc.
  Web Street Securities, Inc.
  Russell Lee Goldstein   Morgan Stanley
  Wells Fargo Advisors, LLC
  Israel Guzman   Unionbanc Investments Services, LLC
  JP Morgan Securities LLC
  Bingyi Hu   National Securities Corporation
  VFinance Investments, Inc.
  Philip Joseph Johnson   Wells Fargo Advisors, LLC
  David Richard Kerr III   A&F Financial Securities, Inc.
  Kenneth Joseph Kolquist   Cetera Advisor Networks LLC
  Securities America, Inc.
  Kestina Mantar   Goldman Sachs & Co.
  Pedro Juan Marrero Astacio IV   Wells Fargo Advisors, LLC
  JP Morgan Securities LLC
  Valon Mehmeti   JP Morgan Securities LLC
  Mercedes Molina  
  Robert Isaac Newell   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Edward Jones
  Christopher A. Parris   The Lucian Group
  Nationwide Securities Inc.
  Barbara Joann Peters   JP Morgan Securities LLC
  Mikhail M. Rasner   Northwestern Mutual Investment Services, LLC
  Rennie M.  Roach   PFS Investments Inc.
  Primerica Financial Services
  Warren Marc Rockmacher   Investacorp, Inc.
  Chase Investment Services Corp.
  Lance R. Shaw   International Assets Advisory, LLC
  LPL Financial LLC
  Michael Ronald Smith   UBS Financial Services Inc.
  Morgan Stanley Smith Barney
  James Tao   Sunbelt Securities, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Larry Steven Werbel   Concorde Investment Services, LLC
  Summit Brokerage Services, 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.

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