A National Securities Arbitration & Investment Fraud Law Firm
Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047) of Miami, FL. He has been in the industry since 2000. Continue reading ›
According to FINRA Disciplinary actions for January 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 |
| Scott Reed | First Financial Equity Corporation |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for January 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 |
| Jack McBride | Newbridge Securities Corporation |
| B. Riley Wealth Management | |
| Richard Webb | Park Avenue Securities LLC |
| William Williford | Morgan Stanley |
According to FINRA Disciplinary actions for January 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 |
| Gabriela Alfaro | Charles Schwab &Co., Inc. |
| Vinessa Christian | UBS Financial Services Inc. |
| RBC Dain Raucher Inc. | |
| Denzel Coleman | J.P. Morgan Securities LLC |
| Wells Fargo Clearing Services, LLC | |
| Stalin Cruz | SW Financial |
| Windsor Street Capital, L.P. | |
| Richard Goldston | Edwared Jones |
Stewart Ginn (CRD# 4503197, aka “Stewart Taylor,” “Paxton Ginn Jr”) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, expelled by FINRA on 09/14/2010) of Chicago, IL. He has been in the industry since 2002. Continue reading ›
Michael Digioia (Michael Joseph Digioia CRD# 4073951, aka Michael Joseph Di Gioia, Michael Di Gioia, Mike Joseph Di Gioia, Mike Ross) is a previously registered broker last employed with Lampost Capital, L.C. (CRD# 43706) of Boca Raton, FL. His previous employers include Arive Capital Markets (CRD# 8060) of Bay Ridge, NY, Vision (CRD# 47927) of Stamford, CT, and Rothschild Lieberman LLC (CRD# 10030) of New York, NY. He has been in the industry since 2000. Continue reading ›
Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. (CRD# 15007) of Garden City, NY. His previous employers include National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. (CRD#:13755) of Port Washington, NY, and Oppenheimer & Co. Inc. (CRD# 249) of New York, NY. He has been in the industry since 1988. Continue reading ›
According to FINRA Disciplinary actions for December 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 Carlson | Capital Financial Services, Inc. |
| Integrity Funds Distributor, Inc. | |
| John Goodwin | LPL Financial LLC |
| MML Investors Servies, LLC | |
| Jane Terry | Raymond James Financial Services, Inc. |
| Everen Securities, Inc. | |
| Armando Wood | Raymond James & Associates, Inc. |
| UBS Financial Servies Inc. |
According to FINRA Disciplinary actions for December 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 |
| Thomas Cole III | Charles Schwab & Co., Inc. |
| Equitable Advisors, LLC | |
| Daniel Ditch | PFS Investments Inc. |
| Stephen Jones | Equitable Advisors, LLC |
| Robert Luley, Jr. | Pruco Securities, LLC |
| Madison Avenue Securities, LLC | |
| Hector Negrete | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Louis No | NYLife Securities, LLC |
| Shawn O’Connell | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Chanda Park | Transamerica Financial Advisors, Inc. |
| William Rodriguez |
According to FINRA Disciplinary actions for December 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 |
| Michael Capolongo | Network 1 Financial Securities Inc. |
| Worden Capital Management LLC | |
| Michael Fasciglione | Aegis Capital Corp. |
| National Securities Corporation | |
| Isaiah Frection | NYLife Securities LLC |
| Johnathan Hagood | Wells Fargo Clearing Services, LLC |
| Christopher Lynch | Pruco Securities, LLC |
| LPL Financial LLC | |
| John Rabulan | NYLife Securities LLC |
| Dennis Riordan | Wynston Hill Capital, LLC |
| Aeon Capital Inc | |
| Adriano Schultz | J.P. Morgan Securities LLC |
| Wells Fargo Clearing Services, LLC | |
| Brittny Stagnitto | |
| Anthony Vadino | Equitable Advisors, LLC |
| LPL Financial LLC |
Securities Arbitration Lawyers Blog