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Public Justice

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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.

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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.  Silver Law Group represents investors in claims against Aegis Capital relating to accounts managed by Keith Dagostino. Dagostino is the subject of eighteen disclosures, all customer disputes. Fifteen of these disputes were filed since 3/6/2023, and seven are still pending.   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 ›

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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

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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

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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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According to FINRA Disciplinary actions for August 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
  Ned Seitler   Charles Schwab & Co., Inc.
  Neuberger Berman Management, Inc.
  Kirkland Wilson   Cetera Advisor Networks LLC
  Securian Financial Services, Inc.

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According to FINRA Disciplinary actions for August 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
  Fanar Almosleh   U.S. Bancorp Investments, Inc.
  Zev Bishop   Raymond James Financial Services, Inc.
  Nicholas Camp   Bank of America, N.A.
  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
  Vanessa Hendrickson   NYLife Securities LLC
  Mariah Nagy   J.P. Morgan Securities LLC
  Zayed Regalado   NYLife Securities LLC
  Jeffery Sanders   Woodmen Financial Services, Inc.
  Daniel Turner   Vanguard Marketing Corporation

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According to FINRA Disciplinary actions for August, 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
  George Apolonides   Spartan Capital Securities, LLC
  Southeast Investments, N.C., Inc.
  Gerald Cocuzzo   Newbridge Securities Corporation
  IAA Financial LLC
  Howard Graham   Stonex Securities Inc.
  Wells Fargo Clearing Services, LLC
  James Stuart   Richfield Orion International Inc.
  Intervest International Equities Corporation
  Kostas Tsamos   Spartan Capital Securities, LLC
  Southeast Investments, N.C., Inc.

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Silver Law Group founder Scott Silver weighed in on the recent suspension of broke Luis E. Nin (CRD# 4372587) after he was discovered trading in a deceased client’s account.  In the article for Advisor Hub, Mr. Silver said, “This broker’s conduct violates the most fundamental foundational requirement that a broker owes a client—don’t buy a stock that the client has not authorized.”  While registered with UBS Financial Services (CRD# 8174) of Newport Beach, CA, Lin was notified that the authorized person for a trust had died. Lin was the registered representative for this trust.  After learning of the person’s death, Lin placed ten trades in this trust account between June 29, 2022, and July 6, 2022. Although Lin spoke with a relative of the deceased about the trading, that relative did not have trading authority for the account. Later Lin wrongly told the firm that the customer had spoken to and received prior authorization from the now-deceased client. All customer-provided authorizations expire when the customer dies. Silver Law Group founder Scott Silver weighed in on the recent suspension of broke Luis E. Nin (CRD# 4372587) after he was discovered trading in a deceased client’s account.

In the article for Advisor Hub, Mr. Silver said, “This broker’s conduct violates the most fundamental foundational requirement that a broker owes a client—don’t buy a stock that the client has not authorized.”  Continue reading ›

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The Securities and Exchange Commission (SEC) has charged Russell Todd Burkhalter, founder and CEO of Drive Planning, LLC, his Atlanta-based company. In their complaint, the SEC requested and received a preliminary injunction, asset freeze, and other emergency relief against both Burkhalter and Drive Planning to stop a Ponzi scheme worth $300 million that affected over 2,000 investors. A receiver has been appointed for Drive Planning. The complaint details that from 2020 through at least June of 2024, Burkhalter engaged in selling unregistered securities through Drive Planning. Called “Real Estate Acceleration Loans,” or REAL, they promised investors “bridge loan opportunity promising 10% in 3 months.”  More than 2,000 investors had over $300 million invested in REALs as of June 2024.The Securities and Exchange Commission (SEC) has charged Russell Todd Burkhalter, founder and CEO of Drive Planning, LLC, his Atlanta-based company. In their complaint, the SEC requested and received a preliminary injunction, asset freeze, and other emergency relief against both Burkhalter and Drive Planning to stop a Ponzi scheme worth $300 million that affected over 2,000 investors. A receiver has been appointed for Drive Planning. Continue reading ›

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