FINRA Disciplinary Actions

Have You Lost Money with Cantone Research Inc.?

March 1, 2016 | Silver Law Group

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.

FINRA Bars Registered Individuals in February 2016 for Violations of FINRA Rules

February 29, 2016 | Silver Law Group

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

FINRA Suspends Registered Individuals in February 2016 for Violations of FINRA Rules

February 29, 2016 | Silver Law Group

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
John H. Berry	LPL Financial, LLC
Jeffrey Alan Bond	David Lerner Associates, Inc.
Ricardo Athelstone Broome	Woodstock Financial Group, Inc.
Ricardo Athelstone Broome	Meyers Associates LP
Thomas Buono	Park Avenue Securities, LLC
Henry Kimtong Chang	Cetera Advisor Networks LLC
Henry Kimtong Chang	Financial Network Investment Corp.
Veronica A. Deese	The Vanguard Group, Inc.
Larry Gordon Goldston	Caprock Securities, Inc.
Larry Gordon Goldston	Morgan Stanley DW, Inc.
Rogelio Fernando Guevara	Northwestern Mutual Investment Services, LLC
Li-Lin Hsu	Ameriprise Financial Services, Inc.
Li-Lin Hsu	Transglobal Advisory, LLC
Roy Edward Jones	J.P. Morgan Securities, LLC
Roy Edward Jones	Castle Oak Securities
Sean Francis Lanci	J. Streicher Capital, LLC
Sean Francis Lanci	John Thomas Financial
Tiffany Kim Le	Logic Wealth Management
Tiffany Kim Le	J.P. Morgan Securities, LLC
Sergio D. Lopez	MML Investors Services, LLC
Sergio D. Lopez	NYLife Securities, LLC
April Christine Morris-Spicer	Wunderlich Securities, Inc.
April Christine Morris-Spicer	Lincoln Investment
Sean David Portnoy	Nobles & Richards, Inc.
Sean David Portnoy	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.
Angelos Stephen Tsigounis	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.

FINRA Suspends Registered Individuals in February 2016 for Failure to Comply with FINRA Rules

February 29, 2016 | Silver Law Group

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.

FINRA Suspends Registered Individuals for Violations of FINRA Rules in November 2015

December 1, 2015 | Silver Law Group

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
Donna Kay Beers	Private Consulting Group, Inc.
Joe L. Buckner	Brazos Securities, Inc.
Joe L. Buckner	Maplewood Investment Advisors, Inc.
Richard Gordon Drown, Jr.	D.A. Davidson & Co.
Richard Gordon Drown, Jr.	Crowell, Weedon & Co.
Jason John Garcia	Merrimac Corporate Securities, Inc.
Jason John Garcia	Wellstreet*E Financial Services, Inc.
Li-Lin Hsu	Transglobal Advisory, LLC
Li-Lin Hsu	Ameriprise Financial Services, Inc.
Margaret Mary Martin	MML Investors Services LLC
Margaret Mary Martin	Park Avenue Securities LLC
Cynthia Irene Taylor	BBVA Securities Inc.
Cynthia Irene Taylor	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.

FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015

December 1, 2015 | Silver Law Group

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.

FINRA Suspends Brokers for Failing to Comply with FINRA Rules in June 2015

July 13, 2015 | Silver Law Group

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.