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Articles Posted in Stockbroker Misconduct

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According to FINRA Disciplinary actions for April 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
  Christine Bourdelais   NYLife Securities LLC
  Thomas Buck   RBC Capital Markets, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc.
  Intersecurities, Inc.
  Richard Logalbo   Cetera Investment Services LLC
  MML Investors Services, LLC
  Harold Ramsey   Paulson Investment Company LLC
  Spartan Capital Securities, LLC
  Michael Rosalia   SW Financial
  Worden Capital Management LLC
  Dana Vietor   CFD Investments, Inc.
  Oakbridge Financial Services
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for April 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
  Austin Kiick   Equitable Advisors, LLC
  Isaac LaFond   Patrick Capital Markets, LLC
  IFP Securities, LLC
  Steve Moise   Joseph Stone Capital, LLC
  Spartan Capital Securities, LLC
  David Morris   Stifel, Nicolaus & Company, Incorporated
  UBS Financial Sevices Inc.

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According to FINRA Disciplinary actions for March 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
  Chrisopher Arnold   USCA Securities LLC
  Salient Capital L.P.
  Blaine Hamlett   Equitable Advisors, LLC
  Adrian London   J.P. Morgan Securities LLC
  E*Trade Securities LLC
  Yvonne Nguyen   NYLife Securities LLC
  Robert Rich   Wells Fargo Advisors Financial Network, LLC
  Wachovia Securities, LLC
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenneth Wade   Cetera Advisor Networks LLC
  PFS Investments Inc.
  Khalil Watts   J.P. Morgan Securities LLC
  Willliam Williford   Morgan Stanley

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According to FINRA Disciplinary actions for March 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 Carroll   Vanderbilt Securities, LLC
  National Securities Corporation
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for March 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
  Kenwyn Belkot   LPL Financial LLC
  FSC Securities Corporation
  Robert Calamunci Sr.   Xnergy Financial LLC
  NPPEX, LLC
  Sevag Haddadian   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Stefanie Hurkala   Wells Fargo Clearing Services, LLC
  First Investors Corporation
  Pamelia Owensby   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ikenna Ubaka

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Surage Perera (Surage Roshan Perera CRD# 4716321) is a broker who was last registered with Aegis Capital Corp. (CRD#:15007) of Melville, NY. His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. Of his thirteen previous employers, seven have been expelled by FINRA. He has been in the industry since 2004. After his employment with Aegis, Perera founded Janues Capital Management in Bellerose, Queens. He was also the executive director. In March of 2023, the SEC obtained a restraining order against Perera, and successfully requested that the court freeze his assets. Perera was also recently arrested in Queens with charges from both the SEC and the US Department of Justice, who charged him with wire fraud, money laundering and investment adviser fraud. There were 16 counts in the indictment, which also included securities fraud. Following his arrest, he went before federal court in Central Islip, Long Island. Surage Perera (Surage Roshan Perera CRD# 4716321) is a broker who was last registered with Aegis Capital Corp. (CRD#:15007) of Melville, NY. His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. Of his thirteen previous employers, seven have been expelled by FINRA. He has been in the industry since 2004. Continue reading ›

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Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. He has been in the industry since 1994. Merrill Lynch discharged Eriksson on 10/20/2020 for ”Conduct involving outside business activities including entering into a financial arrangement with a client without the Firm's knowledge or approval.”Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. He has been in the industry since 1994. Continue reading ›

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Christopher Polinaire (Christopher Edward Polinaire CRD# 4330879) is a previously-registered broker whose last employer was Network 1 Financial Securities Inc. (CRD#:13577) of Hauppage, NY. His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC (CRD#:142485) of Melville, NY. He has been in the industry since 2004. Following a 2020 cause exam by FINRA of Arive Capital Markets, it was found that Polinaire “excessively and unsuitably” traded in three customer accounts. These customers were senior investors, all over the age of 65.Christopher Polinaire (Christopher Edward Polinaire CRD# 4330879) is a previously-registered broker whose last employer was Network 1 Financial Securities Inc. (CRD#:13577) of Hauppage, NY. His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC (CRD#:142485) of Melville, NY. He has been in the industry since 2004. Continue reading ›

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Todd Seymour (Todd Michael Seymour CRD# 3249733) is a previously registered broker and currently registered investment advisor last employed with Raymond James Financial Services, Inc. (CRD# 6694) of Clearwater, FL. He has one prior employer, Morgan Stanley (CRD#:149777), also of Clearwater, where he began his career in 2014. Seymour’s CRD has two employment terminations on the same day, 11/5/2020. The first discharge was from Raymond James, and the second from Steward Partners Investment Advisory, LLC., with identical reasons for his discharge: ”Terminated for various policy violations, including conducting firm business through an outside email address, acting in an unapproved capacity for a client, and reuse of blank, signed forms for another client.” It is not clear from the CRD if or how the two firms might be affiliated.Todd Seymour (Todd Michael Seymour CRD# 3249733) is a previously registered broker and currently registered investment advisor last employed with Raymond James Financial Services, Inc. (CRD# 6694) of Clearwater, FL. He has one prior employer, Morgan Stanley (CRD#:149777), also of Clearwater, where he began his career in 2014. Continue reading ›

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Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. He was previously employed by three divisions of Morgan Stanley (CRDs: #149777, #8209, and #7556), also of Brea. He has been in the industry since 2001. Haddadian’s employment with both Morgan Stanley and Wells Fargo ended in a six-month period in 2022. Both companies found that Haddadian was involved in outside business activities (OBA) involving real estate. Haddadian voluntarily resigned from Morgan Stanley on 1/13/2022 after he failed to disclose his involvement in limited liability companies (LLCs) along with firm clients that bought, sold, and rented homes in the state of Ohio. Wells Fargo discharged Haddadian on 6/12/2022 after he failed to disclose his involvement with an LLC that acquired and rented real estate.Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. He was previously employed by three divisions of Morgan Stanley (CRDs: #149777, #8209, and #7556), also of Brea. He has been in the industry since 2001. Continue reading ›

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