A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Stockbroker Misconduct

|

Mark Joy Lane, a former broker for Cetera Advisor Networks LLC and Walnut Street Securities, Inc., was permanently barred by FINRA from association with any FINRA member in any capacity.  Lane worked at Walnut from February 2004 to September 2013 and at Cetera from September 2013 to August 2014.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

FINRA permanently barred Darrell Raymond after Raymond failing to respond to a request by FINRA for information.  Raymond worked at Oppenheimer & Co, Inc. from March 2013 until February 2014.  Prior to Oppenheimer, he was at Dinosaur Securities and Next Financial Group.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

A former broker with O.N. Equity Sales Company in Norfolk, Virginia, was permanently barred by FINRA.  Josh Abernathy was barred from association in any manner with any FINRA member for failing to provide information requested by FINRA.  Abernathy was registered with The O.N. Equity Sales Company from February 2013 until August 2014.  Prior to working at O.N., he worked at Next Financial Group and MML Investors Services.  Abernathy also owned and controlled his own investment company called Omega Investment Group which he allegedly used to operate a Ponzi scheme.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

Jenna Connett was permanently barred by FINRA for association with any FINRA member in any capacity for failing to respond to FINRA’s request for information.   Connett worked at Morgan Stanley in Red Bank, NJ from June 2009 until she was suspended by FINRA in July 2014.  Prior to working at Morgan Stanley, Connett worked at Citigroup Global Markets.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

Judith Woodhouse, a former broker at Securities America, was permanently barred by FINRA for association with any FINRA member in any capacity for failing to respond to FINRA’s request for information.   Woodhouse worked for Securities America from December 2008 through February 2013 and then again from July 2013 through September 2014.  It appears that she had a previous suspension in February 2013 for participating in private securities transactions away from her prior firm, EPlanning Securities in 2009.  She was fired from Securities America in August 2014 for failure to follow firm policies and procedures relating to the borrowing of funds and relating to responding to supervisory requests.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

Curtis Milakovich was permanently barred by FINRA for association with any FINRA member in any manner for failing to respond to FINRA’s request for information.  Milakovich worked at Kovack Securities from May 2011 until November 2013, when he resigned after Kovack received an inquiry from one of Milakovich’s clients about the nature and volume of the trading activity in her account and commissions charged.  Kovack believed that the inquiry might evolve into a complaint and was considering setting aside a portion of Milakovich’s commissions to cover any potential claim from the client.  There is 2013 complaint on Milakovich’s CRD that was settled in 2014 for $55,000, a portion of which Milakovich is responsible for paying.  This complaint alleges unsuitable transactions and unauthorized and excessive trading.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

National Securities Corporation broker Michael O’Neill was suspended by FINRA for 20 days and fined $5,000 for impersonating a former customer to assist the customer in obtaining information from a FINRA member firm about the customer’s own account.  This was apparently done with the customer’s approval.  O’Neill has worked at National Securities Corporation since August 2013.  Prior to working at NSC, he was a broker at Brookville Capital Partners.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

Joel Blum, currently with Ameriprise Financial Services, was suspended by FINRA for 20 days for a dispute occurring when he was a broker at Merrill Lynch.  FINRA found that he executed discretionary transactions in customers’ accounts without written authorization.  In addition, it was found that he marked the order tickets for these transactions as unsolicited; when in fact they were solicited.   He was also fined $10,000.00 by FINRA.  Blum worked at Merrill Lynch from May 2008 until February 2014.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

According to FINRA Disciplinary actions for May 2015, 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
     Jinesh Pravin Brahmbhatt      Success Trade Securities, Inc.
     LPL Financial Corporation
     Patrick Ryan Bray      Newbridge Securities Corporation
     UBS Financial Services Inc.
     Douglas Walter Campbell Jr.      Wedbush Securities Inc.
     Brookstreet Securities Corporation
     Andrew Joseph Donofrio      Garden State Securities, Inc.
     Wells Fargo Advisors, LLC
     Anthony Frank Giuliano III      EKN Financial Services, Inc.
     John Thomas Financial
     Greg James Hilliard      Toussaint Capital Partners, LLC
     Oppenheimer & Co. Inc.
     Brendon John Lyden      Oppenheimer & Co. Inc.
     UBS Financial Services Inc.
     Wilhelm Nash      UBS Financial Services Inc.
     Credit Suisse Securities (USA) LLC
     Alexander Walter Swanson

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

|

According to FINRA Disciplinary actions for May 2015, 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
  Charles Eric Brown
  Omar Campos   LPL Financial LLC
  Chase Investment Services Corp
  Marie Elizabeth Cantu   Citigroup Global Markets Inc.
  Citicorp Investment Services
  James Arthur Champi   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Joseph Edmund Flores DeMeneses Jr.   COR Clearing LLC
  Direct Access Partners LLC
  Elon Isreal Henek   Sunstreet Securities, LLC
  EJ Sterling Inc.
  Jonele Inise Hinton
  Jeremy Shawn Hixson   U.S. Bancorp Investments, Inc.
  Firstmerit Financial Services, Inc.
  Mark Joy Lane   Cetera Advisor Networks LLC
  Walnut Street Securities, Inc.
  Salim Lyazidi   Kovack Securities Inc.
  JHS Capital Advisors, LLC
  Scott Frederick Matthews   Key Investment Services LLC
  Ameriprise Financial Services, Inc.
  Chadrick Alan Moss   Wells Fargo Advisors, LLC
  Paul Avery Nicholls Jr.   MML Investors Services, LLC
  Investment Professionals, Inc.
  Jason Charles Parker   LPL Financial LLC
  Edward Jones
  Jane Linda Taylor   H.D. Vest Investment Services
  Daniel L. Valdes   Suntrust Investment Services, Inc.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2024, Silver Law Group
JUSTIA Law Firm Blog Design