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Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. (CRD#:46214) of New York, NY. His previous employers include Wunderlich Securities, Inc. (CRD#:2543), also of New York, J.P. Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. (CRD#:25574) of Yorktown Heights, NY. He has been in the industry since 2010.Minichino was the subject of two FINRA actions that ultimately led to his bar from working as a broker. The first was filed on 6/25/2018, in response to his failure to comply with an arbitration award and/or settlement agreement. He was suspended effective 9/13/2018 indefinitely, until the amount due is paid (which is not listed.) FINRA then sent two notices of suspension to Minichino, on 9/17/2018 and 10/11/2018. After failing to comply with a FINRA request for information and did not request a termination of his suspension, Minichino was then barred indefinitely effective 12/20/2018.Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. (CRD#:46214) of New York, NY. His previous employers include Wunderlich Securities, Inc. (CRD#:2543), also of New York, J.P. Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. (CRD#:25574) of Yorktown Heights, NY. He has been in the industry since 2010.

Minichino was the subject of two FINRA actions that ultimately led to his bar from working as a broker. The first was filed on 6/25/2018, in response to his failure to comply with an arbitration award and/or settlement agreement. He was suspended effective 9/13/2018 indefinitely, until the amount due is paid (which is not listed.) Continue reading ›

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Devin Michael McCabe (CRD#: 5645799) is a registered broker currently employed with Westpark Capital, Inc. (CRD#:39914) of Fort Lauderdale, FL. He was previously employed by Laidlaw & Company (UK) LTD. (CRD#:119037), Sterne Agee Financial Services, Inc. (CRD#:18456), and Emmett A Larkin Company, Inc. (CRD#:6625), all of Fort Lauderdale. He has been in the industry since 2009.McCabe is the subject of two disclosures. The first disclosure was filed on 5/15/2018. The customer alleges “churning, unauthorized and unsuitable trading from 2015-2017,” and requests damages of $25,413.00. The claim is currently listed as “pending.”Devin Michael McCabe (CRD#: 5645799) is a registered broker currently employed with Westpark Capital, Inc. (CRD#:39914) of Fort Lauderdale, FL. He was previously employed by Laidlaw & Company (UK) LTD. (CRD#:119037), Sterne Agee Financial Services, Inc. (CRD#:18456), and Emmett A Larkin Company, Inc. (CRD#:6625), all of Fort Lauderdale. He has been in the industry since 2009.

Devin Michael McCabe is the subject of two disclosures. The first disclosure was filed on 5/15/2018. The customer alleges “churning, unauthorized and unsuitable trading from 2015-2017,” and requests damages of $25,413.00. The claim is currently listed as “pending.” Continue reading ›

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Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.

On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. No additional information is available. Continue reading ›

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Sierra Alexandria Crocker, a previously registered who worked for Voya Financial Partners, was terminated following an arrest, then barred by FINRA.Sierra Alexandria Crocker (CRD #6725624) is a previously registered broker whose last known and only broker employer was Voya Financial Partners, LLC (CRD#:34815) of Jacksonville, FL. She began in the industry in 2016, and no current employment information is available.

Crocker’s employment with Voya was terminated on 03/02/2018 after she was arrested “for a violation of Section 817.034(4)(A)3 of the Florida Statutes for organized fraud.”  According to available arrest information, she was released on a $10,000 bond. Continue reading ›

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Jonathan Ebel (CRD#: 5902719) is a registered broker currently employed with Laidlaw & Company (UK) LTD. (CRD#:119037) of Melville, NY. He was previously employed with Rockwell Global Capital LLC (CRD#:142485) and Ekn Financial Services Inc. (CRD#:113525), also of Melville. He has been in the industry since 2011. Ebel is currently employed by Network 1 Financial.Ebel has one customer dispute, filed on 5/22/2018, alleging “excessive and unsuitable trading from 2016-2018.”  The client requested damages of $71,000, and the claim was settled for $30,000. Ebel denies the claim.Jonathan Ebel (CRD#: 5902719) is a registered broker currently employed with Laidlaw & Company (UK) LTD. (CRD#:119037) of Melville, NY. He was previously employed with Rockwell Global Capital LLC (CRD#:142485) and Ekn Financial Services Inc. (CRD#:113525), also of Melville. He has been in the industry since 2011. Ebel is currently employed by Network 1 Financial.

Ebel has one customer dispute, filed on 5/22/2018, alleging “excessive and unsuitable trading from 2016-2018.”  The client requested damages of $71,000, and the claim was settled for $30,000. Ebel denies the claim. Continue reading ›

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Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm.Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.

Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm. Continue reading ›

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Dr. Philip Frost, CEO and chairman of Opko Health, has agreed to a proposed settlement with the SEC in a microcap stock manipulation scheme.Back in October, we told you about charges filed by the SEC against Florida businessman Barry Honig in a microcap stock manipulation scheme that netted Honig and his associates $27 million in fraudulent funds.

One of those associates, Dr. Philip Frost, has agreed to a proposed settlement with the SEC in this case. Frost is a biotech billionaire who is CEO and chairman of Opko Health and former chairman of Teva Pharmaceutical Industries Ltd. He was among ten people and ten entities charged in September in relation to the “pump-and-dump” stock scheme. Continue reading ›

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On November 2, 2018, the FTC put out a press release regarding Simple Health Plans LLC, which announced that, at its request “a federal judge temporarily shut down a Florida-based operation that allegedly collected more than $100 million by preying on Americans in search of health insurance, selling these consumers worthless plans that left tens of thousands of people uninsured.”A complaint filed in federal court against Simple Health and its owner alleged that they falsely led people to believe they were buying comprehensive health insurance, when they were really buying medical discount and limited benefit plans that didn’t qualify as health insurance and didn’t deliver the benefits promised.On November 2, 2018, the FTC put out a press release regarding Simple Health Plans LLC, which announced that, at its request “a federal judge temporarily shut down a Florida-based operation that allegedly collected more than $100 million by preying on Americans in search of health insurance, selling these consumers worthless plans that left tens of thousands of people uninsured.”

A complaint filed in federal court against Simple Health and its owner alleged that they falsely led people to believe they were buying comprehensive health insurance, when they were really buying medical discount and limited benefit plans that didn’t qualify as health insurance and didn’t deliver the benefits promised. Continue reading ›

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A class action lawsuit has been filed on behalf of investors against Health Insurance Innovations, Inc. (HIIQ), a distributor of health insurance plans. The lawsuit concerns potential violations of state and federal laws by the company and its officers. If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.A class action lawsuit has been filed on behalf of investors against Health Insurance Innovations, Inc. (HIIQ), a distributor of health insurance plans. The lawsuit concerns potential violations of state and federal laws by the company and its officers.

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses. Continue reading ›

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Silver Law Group has filed the first arbitration claim against SagePoint Financial related to GPB Capital investments. The claim, filed on behalf of a client who invested in GPB’s automotive fund, is for $400,000.GPB is under investigation by federal and state agencies, and is accused of being a Ponzi scheme. In December 2018 they stopped paying investors, the value of their private placement investments has gone down, and the future of the company is uncertain.Silver Law Group has filed the first arbitration claim against SagePoint Financial related to GPB Capital investments. The claim, filed on behalf of a client who invested in GPB’s automotive fund, is for $400,000.

GPB is under investigation by federal and state agencies, and is accused of being a Ponzi scheme. In December 2018 they stopped paying investors, the value of their private placement investments has gone down, and the future of the company is uncertain. Continue reading ›

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