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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. Continue reading ›
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 ›
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 ›
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 |
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 |
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. |
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 ›
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 |
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 |
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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