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Articles Posted in Stockbroker Misconduct

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Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. His other employers were Parkland Securities, LLC (CRD#:115368), Sagepoint Financial, Inc. (CRD#:133763), and H.D. Vest Investment Services (CRD#13686), also of Lebanon.  He has been in the industry since 2010. Thayer’s first dispute was filed on 11/18/2022 by a client who alleged he misappropriated $45,250 from her account from 01/02/2019 through 9/28/2022. This claim is still pending as of this writing.Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. His other employers were Parkland Securities, LLC (CRD#:115368), Sagepoint Financial, Inc. (CRD#:133763), and H.D. Vest Investment Services (CRD#13686), also of Lebanon. He has been in the industry since 2010. Continue reading ›

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David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago.  He has been in the industry since 1996. Morris was involved in a FINRA arbitration brought by his former employer, UBS Financial Services and UBS Credit Corp. In it, UBS alleged that Morris breached ten promissory notes when he failed to repay them at the time of his termination. (No reason for termination is available, or whether it was voluntary.) Representing himself, Morris denied these allegations and filed a counterclaim. FINRA suspended Morris.David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago.  He has been in the industry since 1996. Continue reading ›

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According to FINRA Disciplinary actions for April 2023, 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
  William Casper   J.P. Morgan Securities LLC
  Kevin Chiu   J.P. Morgan Securities LLC
  Edward McMahon   Alexander Capital, L.P.
  J.P. Turner & Company, L.L.C.
  Somboun Thao   Pruco Securities, LLC
  MML Investors Services, LLC
  Patrick Thayer   LPL Financial LLC
  Parkland Securities, LLC
  Brian Wurdemann   RBC Capital Markets, LLC
  UBS Financial Services Inc.

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According to FINRA Disciplinary actions for April 2023, 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
  Christine Bourdelais   NYLife Securities LLC
  Thomas Buck   RBC Capital Markets, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc.
  Intersecurities, Inc.
  Richard Logalbo   Cetera Investment Services LLC
  MML Investors Services, LLC
  Harold Ramsey   Paulson Investment Company LLC
  Spartan Capital Securities, LLC
  Michael Rosalia   SW Financial
  Worden Capital Management LLC
  Dana Vietor   CFD Investments, Inc.
  Oakbridge Financial Services
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for April 2023, 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
  Austin Kiick   Equitable Advisors, LLC
  Isaac LaFond   Patrick Capital Markets, LLC
  IFP Securities, LLC
  Steve Moise   Joseph Stone Capital, LLC
  Spartan Capital Securities, LLC
  David Morris   Stifel, Nicolaus & Company, Incorporated
  UBS Financial Sevices Inc.

Continue reading ›

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According to FINRA Disciplinary actions for March 2023, 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
  Chrisopher Arnold   USCA Securities LLC
  Salient Capital L.P.
  Blaine Hamlett   Equitable Advisors, LLC
  Adrian London   J.P. Morgan Securities LLC
  E*Trade Securities LLC
  Yvonne Nguyen   NYLife Securities LLC
  Robert Rich   Wells Fargo Advisors Financial Network, LLC
  Wachovia Securities, LLC
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenneth Wade   Cetera Advisor Networks LLC
  PFS Investments Inc.
  Khalil Watts   J.P. Morgan Securities LLC
  Willliam Williford   Morgan Stanley

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According to FINRA Disciplinary actions for March 2023, 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 Carroll   Vanderbilt Securities, LLC
  National Securities Corporation
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

Continue reading ›

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According to FINRA Disciplinary actions for March 2023, 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
  Kenwyn Belkot   LPL Financial LLC
  FSC Securities Corporation
  Robert Calamunci Sr.   Xnergy Financial LLC
  NPPEX, LLC
  Sevag Haddadian   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Stefanie Hurkala   Wells Fargo Clearing Services, LLC
  First Investors Corporation
  Pamelia Owensby   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ikenna Ubaka

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Surage Perera (Surage Roshan Perera CRD# 4716321) is a broker who was last registered with Aegis Capital Corp. (CRD#:15007) of Melville, NY. His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. Of his thirteen previous employers, seven have been expelled by FINRA. He has been in the industry since 2004. After his employment with Aegis, Perera founded Janues Capital Management in Bellerose, Queens. He was also the executive director. In March of 2023, the SEC obtained a restraining order against Perera, and successfully requested that the court freeze his assets. Perera was also recently arrested in Queens with charges from both the SEC and the US Department of Justice, who charged him with wire fraud, money laundering and investment adviser fraud. There were 16 counts in the indictment, which also included securities fraud. Following his arrest, he went before federal court in Central Islip, Long Island. Surage Perera (Surage Roshan Perera CRD# 4716321) is a broker who was last registered with Aegis Capital Corp. (CRD#:15007) of Melville, NY. His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. Of his thirteen previous employers, seven have been expelled by FINRA. He has been in the industry since 2004. Continue reading ›

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Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. He has been in the industry since 1994. Merrill Lynch discharged Eriksson on 10/20/2020 for ”Conduct involving outside business activities including entering into a financial arrangement with a client without the Firm's knowledge or approval.”Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. He has been in the industry since 1994. Continue reading ›

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