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Articles Posted in Stockbroker Misconduct

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Timothy Jefferson (CRD# 5004750, aka Tim Jefferson, Timothy Fleming Jefferson) is a previously registered broker and investment advisor last employed with Aegis Capital Corp. (CRD# 15007) of Brentwood, TN. His previous employers include Ameriprise Financial Services, LLC (CRD# 6363) and Metlife Securities Inc. (CRD# 14251), of Franklin, TN, and Metropolitan Life Insurance Company (CRD# 4095) of Fayetteville, TN. He has been in the industry since 2005. Ameriprise discharged Jefferson on 10/16/2023 for “impermissible use of account login credentials for one client, his spouse.” On 5/16/2024, his spouse filed a customer dispute alleging that her husband, also her advisor, had accessed her account and misappropriated funds from her accounts. This claim is currently pending.Timothy Jefferson (CRD# 5004750, aka Tim Jefferson, Timothy Fleming Jefferson) is a previously registered broker and investment advisor last employed with Aegis Capital Corp. (CRD# 15007) of Brentwood, TN. His previous employers include Ameriprise Financial Services, LLC (CRD# 6363) and Metlife Securities Inc. (CRD# 14251), of Franklin, TN, and Metropolitan Life Insurance Company (CRD# 4095) of Fayetteville, TN. He has been in the industry since 2005. Continue reading ›

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According to FINRA Disciplinary actions for October, 2024, 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
Jason Bostian Wells Fargo Clearing Services, LLC
Morgan Stanley
Helen Caldwell Wells Fargo Clearing Services, LLC
Citigroup Global Markets Inc.
Henry Chang Laidlaw &Company
Morgan Stanley
Brian Chicas NYLife Securities LLC
Larry Law Great Point Capital, LLC
JRL Capital Corporation
Gaetano Magarelli Center Street Advisors, Inc.
Newbridge Securities Corporation
Ryan Stoner Fifth Third Securities, Inc.
Wells Fargo Clearing Services, LLC
Joseph Todaro Network 1 Financial Securities Inc.
SW Financial

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According to FINRA Disciplinary actions for October 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Iam Aguilar Fidelity Brokerage Services LLC
Luke Brooks U.S. Bancorp Investments, Inc.
Glenn Colangelo American Independent Securities Group, LLC
The O.N. Equity Sales Company
Luis Jean-Bart PFS Investments Inc.
Matthew Kagan Merrill Lynch, Pierce, Fenner & Smith Incorporated
Northwestern Mutual Investment Services, LLC
Joseph Seidler RBC Capital Markets, LLC
Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for October 2024, 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
Fanar Almosleh U.S. Bancorp Investments, Inc.
Sebastian Bongiovanni Spartan Capital Securities, LLC
Newbridge Securities Corporation
Nicholas Camp Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jessica Cottee Valic Financial Advisors, Inc.
Park Avenue Securities LLC
Samuel Girgiss Spartan Capital Securities, LLC
Worden Capital Management LLC
Johnathan Grasser Farmers Financial Solutions, LLC
Vanessa Hendrickson NYLife Securities LLC
Zayed Regalado NYLife Securities LLC
Jeffery Sanders Woodmen Financial Services, Inc.

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Keith Dagostino (CRD# 2837860) is a broker currently registered with EF Hutton of Woodbury, NY. His previous employers include Aegis Capital Corp. (CRD# 15007) And Oppenheimer & Co. Inc. (CRD# 249), both of Melville, NY, and Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Oyster Bay, NY. He has been in the industry since 1997.  Silver Law Group represents investors in claims against Aegis Capital relating to accounts managed by Keith Dagostino. Dagostino is the subject of eighteen disclosures, all customer disputes. Fifteen of these disputes were filed since 3/6/2023, and seven are still pending.   Keith Dagostino (CRD# 2837860) is a broker currently registered with EF Hutton of Woodbury, NY. His previous employers include Aegis Capital Corp. (CRD# 15007) And Oppenheimer & Co. Inc. (CRD# 249), both of Melville, NY, and Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Oyster Bay, NY. He has been in the industry since 1997.  Continue reading ›

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According to FINRA Disciplinary actions for September 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Akshita Bhatia
Juan Gauna NYLife Securities LLC
Peter Girgis SW Financial
Worden Capital Management LLC
Timothy Jefferson Aegis Capital Corp.
Ameriprise Financial Services, LLC
Barak Rebibo J.P. Morgan Securities LLC
Courtney Smith Spire Securities, LLC
Hightower Securities, LLC

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According to FINRA Disciplinary actions for September, 2024, 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
John Boatright Newbridge Securities Corporation
Summitt Brokerage Services, Inc.
Robert Boyer Wells Fargo Clearing Services, LLC
Credit Suisse Securities (USA) LLC
Paul Feller
Wentworth Gardner CUNA Brokerage Services, Inc.
AXA Advisors, LLC
Sevag Haddadian Wells Fargo Clearing Services, LLC
Morgan Stanley
Carol Miller Wells Fargo Clearing Services, LLC
Wells Fargo Advisors LLC
Jason Pirnie Pallas Capital Advisors, LLC
UBS Financial Services, Inc.
Gretchen Wallace Oppenheimer & Co., Inc.
Morgan Stanley
David Wolfe Hamilton Grant, LLC
Aaron Capital Incorporated

Continue reading ›

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According to FINRA Disciplinary actions for September 2024, 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
Matthew Davis Charles Schwab & Co., Inc.
Fidelity Brokerage Services LLC
Madison Kelly PFS Investments Inc.
Sean Mostero LPL Financial LLC
Cetera Advisors LLC
Shoaib Qureshi J.P. Morgan Securities LLC
First Republic Securities Company, LLC
Annie Simons

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According to FINRA Disciplinary actions for August 2024, 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
  Ned Seitler   Charles Schwab & Co., Inc.
  Neuberger Berman Management, Inc.
  Kirkland Wilson   Cetera Advisor Networks LLC
  Securian Financial Services, Inc.

Continue reading ›

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According to FINRA Disciplinary actions for August 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Fanar Almosleh   U.S. Bancorp Investments, Inc.
  Zev Bishop   Raymond James Financial Services, Inc.
  Nicholas Camp   Bank of America, N.A.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jessica Cottee   Valic Financial Advisors, Inc.
  Park Avenue Securities LLC
  Samuel Girgiss   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Vanessa Hendrickson   NYLife Securities LLC
  Mariah Nagy   J.P. Morgan Securities LLC
  Zayed Regalado   NYLife Securities LLC
  Jeffery Sanders   Woodmen Financial Services, Inc.
  Daniel Turner   Vanguard Marketing Corporation

Continue reading ›

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