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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 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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Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the industry since 1997. Western International Securities discharged Higgins on 6/21/2024 following his disclosure to his firm that he had been misappropriating client funds for personal use. He began this practice in 2007 during his tenure with is former employer, Financial West Group. Once terminated, Western International filed a Uniform Termination Notice for Securities Industry Registration (Form U5) with FINRA to notify them of his discharge. FINRA’s National Cause and Financial Crimes Detection Programs were also notified and began its investigation. FINRA sent letters to Higgins on 6/24/2024 requesting both related documents and information and a request to appear for on-the-record testimony, which he failed to do.Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the industry since 1997. Continue reading ›

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James Roy Paige (CRD# 1726609) is a broker and investment advisor currently registered with Wells Fargo Clearing Services, LLC (CRD# 19616) of Vero Beach, FL. Previously, he was registered with Morgan Stanley, (CRD# 8209 and CRD# 7556) also of Vero Beach, and Blinder, Robinson & Co., Inc. (CRD# 5096, no location given.) He has been in the industry since 1987. In a dispute filed on 2/6/2024, a customer alleged that Paige made recommendations to them that were “unsuitable and too risky for Claimants' investment knowledge and needs.”  No requested damages are listed.James Roy Paige (CRD# 1726609) is a broker and investment advisor currently registered with Wells Fargo Clearing Services, LLC (CRD# 19616) of Vero Beach, FL. Previously, he was registered with Morgan Stanley, (CRD# 8209 and CRD# 7556) also of Vero Beach, and Blinder, Robinson & Co., Inc. (CRD# 5096, no location given.) He has been in the industry since 1987. Continue reading ›

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