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Articles Posted in Stockbroker Misconduct

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According to FINRA Disciplinary actions for December 2019, 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
  Amparo, Nelson   Citizens Securities, Inc
  Santander Securities LLC
  Bethan, Frank   Quest Capital Strategies, Inc
  Wells Fargo Clearing Services, LLC
  Brown, Andrew   Worden Capital Management LLC
  Aegis Capital Corp
  Gonzalez, Frankie   Morgan Stanley
  Wells Fargo Advisors, LLC
  Horner, Marc   Triad Advisors LLC
  UBS Financial Services Inc
  Smith, John   Legend Securities, Inc
  NYLife Securities LLC
  Smith, Joseph III   Morgan Stanley
  Wells Fargo Advisors, LLC
  Williams, Jacob   U.S. Bancorp Investments, Inc
  Edward Jones

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According to FINRA Disciplinary actions for December 2019, 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
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Cross, Anita
  Gasser, Robert   Barclays Capital Inc
  ITG Derivatives LLC
  Gonzales, Edward   Edward Jones
  Horton, David   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Mazza, Vincent   National Securities Corporation
  Kovak Securities Inc.
  Muraya, Benson
  Murrain, Merle II
  Roegiers, Anthony   Pruco Securities
  AXA Advisors, LLC
  Sperring, Donald Jr.   AXA Advisors, LLC
  The Equitable Life Assurance Society of the US
  Su, Zachary   J.P. Morgan Securities LLC
  World Financial Group
  Williams, Minjoe   Wells Fargo Clearing Services, LLC
  National Securities Corporation
  Wright, Tiana   Northwestern Mutual Investment Services LLC

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According to FINRA Disciplinary actions for December 2019, 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

NAME FORMER EMPLOYERS
  DiLiberto, Jesse   Fidelity Brokerage Services LLC
  Wilmington Capital Securities, LLC
  Fry, Stephen   Woodbury GFinancial Services, Inc.
  H.D. Investment Services
  Gonzalez, Sofia   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Johnson, Timothy Jr.   MML Investors, LLC
  Suntrust Investment Services, Inc
  Karney, Amogh
  McGuire, Jesse   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Mostert, John   Quest Capital Strategies, Inc.
  Intersecurities, Inc
  Murray, Robert   SW Financial
  Joseph Stone Capital LLC
  Stokes, Dain   LPL Financial LLC
  Edward Jones

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GPB Capital has been accused of being a Ponzi scheme, which is a type of fraud where new investor money is used to pay off old investors. Investors in a Ponzi scheme believe they are getting a return from the business they invested in, but they’re really getting another victim’s money. Ponzi schemes are unsustainable because they require more and more new money to pay returns to investors. When new money can’t be found, the scheme collapses, and investors lose their money. Silver Law Group represents investors in securities arbitration claims against stockbrokers who sold GPB.GPB Capital has been accused of being a Ponzi scheme, which is a type of fraud where new investor money is used to pay off old investors. Investors in a Ponzi scheme believe they are getting a return from the business they invested in, but they’re really getting another victim’s money.

Ponzi schemes are unsustainable because they require more and more new money to pay returns to investors. When new money can’t be found, the scheme collapses, and investors lose their money. Silver Law Group represents investors in securities arbitration claims against stockbrokers who sold GPB. Continue reading ›

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According to FINRA Disciplinary actions for November 2019, 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:

NAME FORMER EMPLOYERS
  Ajayi, Emmanuel   JP Morgan Securites LLC
  HSBC Securities (USA) Inc
  Arts, Christopher   Scarsdale Equities LLC
  Leeb Brokerage Services
  Bennett, Jamie   Silber Bennett Financial Inc
  Silver Portal Capital LLC
  Bishop, Tywan   Charles Schwab & Co
  E  Trade Securities
  Borja, Mauricio   Allstate Financial Services
  Encino, Stephen   NY Life Securities
  Freeman, Michael   Spartan Capital Securities
  Legend Securities
  Fries, Scott   Transamerica Financial Advisors, Inc
  NYLife Securities
  Mannera, Samuel   Wells Fargo Clearing Serivces
  Merrill Lynch, Pierce, Fenner and Smith Inc
 Navarre, Michael   Farmers Financial Solutions, LLC
  NY Life Securities LLC
  Oplinger, Todd   IFS Securities
  Ridgeway & Conger
  Persaud, Karishma (Susy)
  Rangel, Jesse   TD Ameritrade
  Morgan Stanley
  Ricker, Gregory   Westpark Capital, Inc
  National Securities Corp
  Thrush, Steven   Summitt Brokerage Services, Inc
  Cambridge Investment Research, Inc
  Washington, Robert

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According to FINRA Disciplinary actions for November 2019, 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
  Ainsworth, Richard   Southwest Securities, Inc
  Morgan Stanley Smith Barney
  Campbell, Charles   A.G. Edwards & Sons, Inc
  H&R Block Financial Advisors
  Leeuw, Nancy
  Leeuw, Perry   PFS Investments Inc
  Primerica Financial Services
  Brian Decker   Worden Capital Management LLC
  Legend Securities
  Jones, Johnnie   National Securities Corporation
  John Thomas Financial
  Misseri, Bernardo   Legend Securities, Inc
  JP Turner & Company
  Oakes, Thomas   Royal Securities Company
  Kent King Securities o., Inc
  Orormaner, Michael   Cova Capital Partners LLC
  Salomon Whitney Financial
  Pagartanis, Steven   Lombard Securities Inc
  Cadaret, Grant & Co
  Siliato, Matthew   Wynston Hill Capital, LLC
  Spartan Capital Securities
  Spaventa, Andrew   SW Financial
  Network 1 Financial Securities
  Taylor, James   First Empire Securities,Inc
  Morgan Stanley

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According to FINRA Disciplinary actions for November 2019, 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
  Acree, Sandra   Fidelity Services LLC
  Ader, Debra
  Baker, Andrew   Suntrust Investment Services, Inc
  Wells Fargo Advisors, LLC
  Bermingham, Reed   Commonwealth Financial Network
  Manning Wealth Management
  Brackett, Michael   Sterne Agee Financial Services, Inc
  Transamerica Financial Advisors, Inc
  Childs, Margareta   Western Financial Securities
  Financial West Group
  Chinn, Pete   HD Vest Investment Securities, Inc
  Pete Chinn Accountancy Corp
  Credle, Eric   Pruco Securities, LLC
  Prudential Insurance Co
  Dreesm David   Ameriprise Financial Services
  Edwards, George   Edward Jones
  Cetera Investment Services LLC
  Harris, Jason   Edward Jones
  Lowery, Jack Jr.   Ameriprise Financial Services
  NBC Securities, Inc
  Pullin, Oivia
  Ryan, Stephen   MML Investors Services, LLC
  NYLife Securities LLC
  Sears, Vernon Jr.   Wells Fargo Clearing Services, LLC
  Raymond James & Associates, Inc
  Soliman, Fadi   IBN Financial Services, Inc
  Ameriprise Financial Services, Inc.

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According to FINRA Disciplinary actions for October 2019, 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
  Clay, Nathaniel   Laidlaw & Company (UK) LTD
  National Securities Corp
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Germano, Anthony   Wells Fargo Advisors Financial Network
  UBS Financial Services
  Lokits, Brandon   Wells Fargo Clearing Services
  Edward Jones
  Mesaros, Shawn   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc
  Reynolds, John Jr.   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shotz, Richard   Wells Fargo Clearing Services
  Morgan Stanley
  Vaccaro, Anthony Jr.   Raymond James & Assoc
  Southwest Securities

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According to FINRA Disciplinary actions for October 2019, 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:

NAME FORMER EMPLOYERS
  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Partners
  Bailey, Michael   PFS Investments
  Primerica Financial Services
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith
  Bank of America
  Bisch, Sara   Santander Securities
  Edward Jones
  Shanks, Anita
  Gonzales, Edward
  Hegarty, Adrian   JP Morgan Securities
  Citigroup Global Markets
  Kraft, David   Morgan Stanley
  Wells Fargo Advisors
  La Gala, Anthony
  Lundstrom, Jeffrey   Signator Investors
  Transamerica Financial Advisors
  Madril, Michael   Wells Fargo Clearing Services
  Mazza, Vincent   National Securities Corp
  Kovak Securities
  McClellan, Richard   LPL Financial
  MML Investors Services
  Murano, Marc   JP Turner & Company
  Muraya, Benson
  Nurrain, Merle
  Olsen, Blair   Lincoln Investment
  Legend Equitities Corp
  Sandhu, Angad
  Scarfone, Bryce   HSBC Securities (USA) Inc
  Sperring, Donald Jr.   AXA Advisors LLC
 The Equitable Lie Assurance Society of the United States
  Su, Zachary   JP Morgan Securities
  World Financial Group
  Uwechue, Anthony   JP Morgan Securities
  Chase Investment Serivces
  Wright, Tiana   Northwestern Mutual Investment Services

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According to FINRA Disciplinary actions for October 2019, 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
  Bender, Charles   Suntrust Investment Services, Inc
  JP Morgan Securities
  Bingham, Daniel   Essex Securities
  Investors Capital Corp
  Devaney, Patrick   Financial West Group
  American P3 Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities
  Dunbarm Clinton   Union Capital Company
  IFS Securities
  Frank, Charles   NY Life Securities
  MWA Sinancial Services
  Gallacher, David   LPL Financial
  AG Edwards & Sons
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lunch, Pierce, Fenner & Smith Inc
  Gruenberg, Myron   Quest Capital Strategies
  Harris, Adrianna   Charles Schwab
  Hose, Audrey   UBS Financial Services
  Montchal, Raymond   Morgan Stanley
  Citigroup Global Markets
  Neuedorf, Robert   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors
  Kestra Investment Services, LLC
  Zhang, Xiangyu   Wells Fargo Clearing Services
  LPL Financial LLC

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