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Articles Posted in Stockbroker Misconduct

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According to FINRA Disciplinary actions for November, 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
Helen Andrews Morgan Stanley
Barclays Capital Inc.
Vincent Fuchs Steward Partners Investment Solutions, LLC
Raymond James Financial Services, Inc.
Wentworth Gardner CUNA Brokerage Services, Inc.
AXA Advisors, LLC
Colton Jacob Steward Partners Investment Solutions, LLC
Raymond James Financial Services, Inc.
Gail Milon ELE Wealth Advisors, Inc.
MSI Financial Services, Inc.
Michael Paesano Morgan Stanley
UBS Financial Services Inc.
David Page Spartan Capital Securities, LLC
SW Financial
Any Zwaan LPL Financial LLC
Wealthplan Partners

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According to FINRA Disciplinary actions for November 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
Juan Gomez
James Easter Independent Financial Group, LLC
NPB Financial Group, LLC
Janelle English
Sara Jankowski Stifel, Nicolaus & Company, Incorporated
City Securities Corporation
David Love LaSalle St Securities, LLC
ICMA-RC Services, LLC
James Marrero American Portfolios Financial Services, Inc.
BCG Securities, Inc.
Luis Castanon J.P. Morgan Securities LLC
Michael Russo Spartan Capital Securities, LLC
Craft Capital Management LLC

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According to FINRA Disciplinary actions for November 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
Zev Bishop Raymond James Financial Services, Inc.
Juan Gauna NYLife Securities LLC
Gauna Financial services, LLC
Timothy Jefferson Aegis Capital Corp.
Ameriprise Financial Services, LLC
Mariah Nagy J.P. Morgan Securities LLC
Barak Rebibo J.P. Morgan Securities LLC
Courtney Smith Spire Securities, LLC
Hightower Securities, LLC
Daniel Turner Vanguard Marketing Corporation

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Alan Mason (CRD# 1302190, a/k/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods & Co. LTD. (CRD# 13660) of New York, NY.  His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984. During Mason’s employment with Westpark Capital in July of 2020, he recommended to one client that she invest 20% of her liquid net worth into the speculative and risky GWG Holdings L-Bonds. The investment was not in the customer’s best interest based on her investment profile and goes against Regulation Best Interest.Alan Mason (CRD# 1302190, a/k/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods & Co. LTD. (CRD# 13660) of New York, NY.  His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984. Continue reading ›

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Ariel Rivero (CRD# 4236679, a/k/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer & Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.  He has been in the industry since 2000. Rivero was recently suspended for six months and fined $15,000 for multiple violations of firm, FINRA and SEC policies. In its investigation, FINRA found that Rivero was using WhatsApp for firm-related communications with clients, including a conversation with a customer (also his former brother-in-law) that occurred in April of 2021. In that conversation, the customer complained to Rivero about $300,000 in losses he suffered from non-traditional exchange traded funds purchased from Rivero.Ariel Rivero (CRD# 4236679, a/k/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer & Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.  He has been in the industry since 2000. Continue reading ›

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Sean Mostero (Sean Francis Mostero CRD# 6447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. Mostero has four disclosures in his CRD. The first was on 2/29/2024, where he was terminated by Alessandra Capital Management, LLC (CRD# 123305), also of Torrance. The company stated that Mostero “abandoned” his job at Alessandra and refused to cooperate with the firm’s requests for information regarding a complaint about his professional conduct.Sean Mostero (Sean Francis Mostero CRD# 6447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. Continue reading ›

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Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. M. Kohn discharged Rahman on 10/9/2023 after the discovery that he was engaged in outside business activities (OBA) with a 78-year-old client during his previous employment at Merrill, Lynch.Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. Continue reading ›

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Sharif Sharif (Sharif Azmi Sharif CRD# 2343413) is a previously registered broker and currently registered investment advisor last employed with LPL Financial LLC (CRD# 6413) of Elmhurst, IL. His previous employers include Woodbury Financial Services, Inc. (CRD# 421), also of Elmhurst, Axa Advisors, LLC (CRD# 6627) of Hinsdale, IL, and Mony Securities Corporation (CRD# 4386) of New York, NY. He has been in the industry since 1995. LPL Financial discharged Sharif on 12/20/2022 for participating in private investments and outside business activity without proper disclosure to the firm. The firm then submitted a Uniform Termination Notice for Securities Industry Registration, or Form U5, notifying FINRA of Sharif’s termination.Sharif Sharif (Sharif Azmi Sharif CRD# 2343413) is a previously registered broker and currently registered investment advisor last employed with LPL Financial LLC (CRD# 6413) of Elmhurst, IL. His previous employers include Woodbury Financial Services, Inc. (CRD# 421), also of Elmhurst, Axa Advisors, LLC (CRD# 6627) of Hinsdale, IL, and Mony Securities Corporation (CRD# 4386) of New York, NY. He has been in the industry since 1995. Continue reading ›

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At the Public Investors Advocate Bar Association (PIABA) annual meeting in San Diego, California in September, 2024 Scott Silver was awarded the Outstanding Service Award, which according to PIABA is “given annually to a PIABA member (or members) demonstrating outstanding service and making significant contributions to PIABA while advancing the mission of PIABA.” Scott Silver, managing partner of Silver Law Group, has been a member of PIABA since 2002 and has presented at PIABA meetings many times on subjects including stockbroker misconduct and variable annuity fraud. At the 2024 annual meeting Scott was also elected to join PIABA’s board of directors for 2024-2025. Scott Silver has spent his entire legal career working in the securities industry and is a passionate investor advocate. Scott and Silver Law Group represent investors in securities arbitration and plaintiff litigation in claims against brokerage firms, investment advisors, and others. Scott also represents investors in class action lawsuits against banks, auditors, and attorneys who aid and abet Ponzi schemes.At the Public Investors Advocate Bar Association (PIABA) annual meeting in San Diego, California in September, 2024 Scott Silver was awarded the Outstanding Service Award, which according to PIABA is “given annually to a PIABA member (or members) demonstrating outstanding service and making significant contributions to PIABA while advancing the mission of PIABA.”

Scott Silver, managing partner of Silver Law Group, has been a member of PIABA since 2002 and has presented at PIABA meetings many times on subjects including stockbroker misconduct and variable annuity fraud. At the 2024 annual meeting Scott was also elected to join PIABA’s board of directors for 2024-2025. Continue reading ›

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