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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for March 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
  Raymond Francis Aleksey   Wells Fargo Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Tiffany Dawn Bee  
  Toby Blackwood   PFS Investments Inc.
  Primerica Financial Services
  Angela K. Blaylock   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Benjamin Jon Brown   State Farm VP Management Corp.
  American Express Financial Advisors, Inc.
  Thomas Anthony Cammarano   LPL Financial LLC
  Associated Securities Corp.
  Brian Andrew Dunn   Robert W. Baird & Co. Inc
  Citigroup Global Markets, Inc.
  Susan Ann Ericson   UBS Financial Services, Inc.
  Jose L. Espinoza   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Craig Steven Ferraro   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Michael W. Finn   Merrill Lynch, Pierce, Fenner & Smith, Inc
  Robert Joseph Gray   Allstate Financial Services, LLC
  Kyle Brockman Greene   J.P. Morgan Securities LLC
  Larry Phillip Harvey, Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Christopher Hermiz   J.P. Morgan Securities LLC
  Andy Edgar Hernandez   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Steve Everett Hinrichs   State Farm VP Management Corp.
  Richard Allen Isgrig   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc.
  Brian Grayson Kidder   High Point Capital Group, Inc.
  Delaney Equity Group, Inc.
  Matthew Lawrence Lalonde   Buckman, Buckman & Reid, Inc.
  LPL Financial LLC
  Kathleen Mary Loney   LPL Financial LLC
  Mutual Service Corporation
  James Joseph McCarron III   J.P. Turner & Company, LLC
  QA3 Financial Corp.
  Brett James McCollough   Hancock Investment Services, Inc.
  Multi-Financial Securities Corp
  Marco A. Mendoza   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Vincent Joseph Menello, Jr.  
  Jason Scott Miller   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Darlene Byrd Page   Morgan Stanley
  UVest Financial Services Group, Ic.
  Christopher A. Parris   Nationwide Securities, Inc.
  The Lucian Group
  Benjamin John Pritchett   Wells Fargo Advisors, LLC
  Investors Capital Corp.
  Francis Anthony Jason Punsalan   J.P. Morgan Securities LLC
  Ebony C. Ranson  
  Toni Leynett Robertson   Caprock Securities, Inc.
  Investment Professionals, Inc.
  Marguerite A. Sanders   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  John Larry Simpson   Princor Financial Services Corp
  Avalon Investment & Securities Group, Inc.
  Robert Jay Snider   Thrivent Investment Management Inc.
  Leonard Toth   Pruco Securities, LLC
  Edward Francis Vincent   LPL Financial LLC
  UBS Financial Services Inc.
  Jean Ann Walsh-Josephson   Thrivent Investment Mangement Inc.
  Robin Michelle Wolfgram   Cetera Advisors LLC
  Foothill Securities, Inc.
  Jamie Reid Zimmerman  

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 March 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
  Randy Lamar Alford   Southeast Investments, N.C. Inc.
  Saxony Securities, Inc.
  Kamran Azim   The Huntington Investment Company
  Kenneth Martin Dlouhy   Catone Research Inc.
  Aegis Capital Corp.
  Wensi Guzman   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Michael Winston Hefner   FBL Marketing Services, LLC
  Equitrust Marketing Serv LLC
  Kristal Lee Johnson   Fifth Third Securities, Inc.
  State Farm VP Management Corp.
  Elizabeth Ann Monge   Lincoln Financial Advisors Corp.
  Valic Financial Advisors, Inc.
  Kayla Arlene Paul-Lindsey   Park Avenue Securities LLC
  MML Investors Services, LLC
  Carmie Lynn Shifflett   Citigroup Global Markets Inc.
  Citicorp Investment Services
  Renate Barbel Sterrett   LPL Financial LLC
  Investacorp, Inc.
  Vladimir Tingue   Scottrade, Inc.
  J.P. Morgan Securities LLC
  Valinda Kay Turner
  Kenya Julissa Zavala   J.P. Morgan Securities LLC
  Chase Investment Services Corp.

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 March 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
  Woodley Hannon Bagwell, Jr.   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Steven Lloyd Colvin   Wells Fargo Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  William Braden Crumrine III   American Portfolios Financial Services, Inc.
  Mid Atlantic Capital Corporation
  Robert Gail Dull   Securities America, Inc.
  Suntrust Investment Services, Inc.
  William Lawrence Eisner   Ameriprise Financial Services, Inc.
  UBS Financial Services, Inc.
  John Scot Galinsky   Fintegra, LLC
  Advanced Equities, Inc.
 Christos Angelo Kalatoudis   Worden Capital Management LLC
  National Securities Corporation
 John Gerald Muir IV   Aegis Capital Corp.
  Chelsea Financial Services
  Patrick Steven Nelson   Steven L. Falk & Associates, Inc.
  White Pacific Securities, Inc.
  Michael Luciano Spinali   Morgan Stanley
  Edward Jones
  Henry Edward Wasserman III   Ameriprise Financial Services, Inc.
  Morgan Stanley Smith Barney
  Jeffrey Lee Whitaker   Capital Wealth Planning, LLC
  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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Have You Lost Money with Cantone Research Inc.? on silverlaw.com

Have you invested money with Cantone Research or its affiliates?

In an official FINRA disciplinary proceeding in 2012, New Jersey brokerage firm Cantone Research Inc. (CRI) and firm Vice President and Chief Compliance Officer Christine Cantone (Cantone) agreed to the entry of findings, violations, and sanctions filed against both parties. Allegations in the complaint involve Cantone’s failure to reasonably supervise broker Maxwell Baldwin Smith.

It is believed that Smith sold fictitious investments to the firm’s customers and misappropriated over $1.6 million of their funds. Cantone, according to FINRA, should have recognized certain signs of misconduct on the part of Smith, however, failed to do so, and as a result CRI investors suffered significant financial losses.

Continue reading ›

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According to FINRA Disciplinary actions for February 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
  Joe L. Buckner   Brazos Securities, Inc.
  Maplewood Securities, Inc.
  Adam Douglas Carrol   The Leaders Group, Inc.
  Metlife Securities, Inc.
  Dennis Fitzgerald Davis   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Stevaun I. Davis
  Theodore Garrity   Feltl & Company
  Morgan Stanley & Co, Inc.
  Tony Sand Jung   MML Distributors, LLC
  Morgan Stanley Smith Barney
  Andreas Stavros Kentrotas   Morgan Stanley Smith Barney
  Citigroup Global Markets, Inc.
  Jay Max Mabry   Park Avenue Securities
  Regal Investment Advisors, LLC
  Joseph Anthony Mele
  Eugene Theodore Smietana   LPL Financial, LLC
  Prudential Securities, Inc.
  John Howard Towers   VSR Financial Services, Inc.
  Personal Wealth Advisors, LLC
  Jacqueline Lee Vadala   Craig Scott Capital, LLC
  Rockwell Global Capital, LLC
  Kenneth Robert Wooden   Edward Jones
  Chase Investment Services Corp.

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 February 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
  Steven Angelo Aguilar   J.P. Morgan Securities, LLC
  Thomas Edward Andrews   LPL Financial, LLC
  John H. Berry   Crown Capital Securities, LP
  LPL Financial, LLC
  Jeffrey Alan Bond   David Lerner Associates, Inc.
  Ricardo Athelstone Broome   Woodstock Financial Group, Inc.
  Meyers Associates LP
  Thomas Buono   Park Avenue Securities, LLC
  Henry Kimtong Chang   Cetera Advisor Networks LLC
  Financial Network Investment Corp.
  Veronica A. Deese   The Vanguard Group, Inc.
  Larry Gordon Goldston   Caprock Securities, Inc.
  Morgan Stanley DW, Inc.
  Rogelio Fernando Guevara   Northwestern Mutual Investment Services, LLC
  Li-Lin Hsu   Ameriprise Financial Services, Inc.
  Transglobal Advisory, LLC
  Roy Edward Jones   J.P. Morgan Securities, LLC
  Castle Oak Securities
  Sean Francis Lanci   J. Streicher Capital, LLC
  John Thomas Financial
  Tiffany Kim Le   Logic Wealth Management
  J.P. Morgan Securities, LLC
  Sergio D. Lopez   MML Investors Services, LLC
  NYLife Securities, LLC
  April Christine Morris-Spicer   Wunderlich Securities, Inc.
  Lincoln Investment
  Sean David Portnoy   Nobles & Richards, Inc.
  Sethi Financial Group
  Samatha Raeshawn Raines   Fidelity Brokerage Services, LLC
  Royal Vance Keith Charles Reynolds III   Pruco Securities, LLC
  Angelos Stephen Tsigounis   Stifel, Nicolaus & Company, Inc.
  VFinance Investments, Inc.
  Makiasa Donyell Turner   Allstate Financial 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.

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According to FINRA Disciplinary actions for February 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
  Philip Wayne Conley   Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Wells Fargo Advisors, LLC
  Daniel Joseph Crowley   Equus Financial Consultings, LLC
  Rochdale Securities, LLC
  Laurie Anne Facsina   LPL Financial, LLC
  Stratos Wealth Partners, LTD
  Daniel Steven Gedatus   RBC Dain Rauscher, Inc.
  Merrill Lynch, Pierce, Fenner & Smith, Inc.
  William Albert Hansen   Hudson Heritage Capital Management, INc.
  Wells Fargo Advisors, LLC
  Aaron Leonard Heimowitz   Lantern Investments, Inc.
  Global Arena Capital Corp.
  Greg James Hilliard   Toussaint Capital Partners, LLC
  Oppenheimer & Co, Inc.
  Thomas Wayne Ottman   Benjamin F. Edwards & Company, Inc.
  Feltl & Company
  Armando Wood   Raymond James & Associates, Inc.
  UBS Financial 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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According to FINRA Disciplinary actions for November 2015, 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
  Antonio Ambrosio
  Silvia Patricia Arevalo   J.P. Morgan Securities LLC
  Donna Kay Beers   Titan Securities
  Private Consulting Group, Inc.
  Joe L. Buckner   Brazos Securities, Inc.
  Maplewood Investment Advisors, Inc.
  Richard Gordon Drown, Jr.   D.A. Davidson & Co.
  Crowell, Weedon & Co.
  Jason John Garcia   Merrimac Corporate Securities, Inc.
  Wellstreet*E Financial Services, Inc.
  Li-Lin Hsu   Transglobal Advisory, LLC
  Ameriprise Financial Services, Inc.
  Margaret Mary Martin   MML Investors Services LLC
  Park Avenue Securities LLC
  Cynthia Irene Taylor   BBVA Securities Inc.
  BBVA Compass Investment Solutions, Inc.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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 2015, 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
  Enver Rahman Alijaj   Avenir Financial Group
  Legend Securities, Inc.
  Christopher R. Barber   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Anthony Ryan Dutter   Morgan Stanley Smith Barney
  Edward Jones
  John Scot Galinsky   Fintegra, LLC
  Advanced Equities, Inc.
  William Benton Guido   LPL Financial LLC
  FSC Securities Corporation
  Joseph Kennon Jayne   Ameriprise Financial Services, Inc.
  Banc of America Investment Services, Inc.
  Michael David Lee   Newport Group Securities, Inc.
  American Financial Systems
  George Henry Lucker III   Wells Fargo Investments, LLC
  Citigroup Global Markets Inc.
  Daniel Richard Mignone   National Securities Corporation
  Berthel, Fisher & Company Financial Services, Inc.
  Kenneth Charles Miles   Independent Financial Group, LLC
  Private Asset Group, Inc.
  Cornelia S. O’Grady   Bank of America, N.A.
  AXA Advisors, LLC
  David Allen Palmer   USAA Financial Advisors, Inc.
  Wells Fargo Advisors, LLC
  Darin Richard Pastor   Courtlandt Securities Corporation
  Chelsea Financial Services
  Nicholas Vito Ragone   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Gary Alan Schwarcz   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Ritchey Jon Wetzel   U.S. Bancorp Investments, Inc.
  Oppenheimer & Co. Inc.
  Michael R. Wilt   AMP Wealth Management
  Cedar Creek Securities, Inc.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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 2015, 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
  Candius J. Bannister   Morgan Stanley
  Edward Jones
  Michael Sean Cain   Morgan Stanley Smith Barney
  Morgan Keegan & Company, Inc.
  John Paul Cech   Morgan Stanley
  Charles Schwab & Co., Inc.
  Daniel Joseph Crowley   Rochdale Securities LLC
  Hoenig & Co., Inc.
  Brendan Perry Frank   Morgan Stanley
  Citigroup Global Markets Inc.
  Peter H. Kim   Morgan Stanley
  Wachovia Securities, LLC
  Joshua T. Krieg   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Morgan Stanley &Co., Inc.
  William Russell Makepeace IV   USAA Financial Advisors, Inc.
  UBS Financial Services, Inc.
  Donald James McBirney   Sterne, Agee & Leach, Inc.
  Oppenheimer & Co. Inc.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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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