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$1 MILLION Securities Arbitration Award for Elder Financial Fraud
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According to FINRA Disciplinary actions for October 2026, 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
Travis Price Alexander  Raymond James Financial Services

Ameriprise Financial Services
Mark William Fowler Raymond James Financial Services

WFG Investments, Inc.
Richard A. Harris HSBC Securities (USA) Inc.

Wells Fargo Clearing Services, LLC
Joseph Frank Lauzon LPL Financial LLC

Wachovia Securities, LLC
Dimitrios K. Michelis UBS Financial Services Inc.

J.P. Morgan Securities LLC
Norman Casey Sears Edward Jones

Lincoln Financial Distributors
Humberto David Sirvent Entoro Securities, LLC

Chestnut Exploration Partners

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According to FINRA Disciplinary actions for September 2026, 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
Clinton Edmund Galloway  Drum Capital Corp

Private Investors Equity Group

First Street Securities Corp.

 

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According to FINRA Disciplinary actions for September 2026, the following individuals were suspended from FINRA and currently cannot 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
Amanda Rose Brostek  Key Investment Services LLC

AXA Advisors LLC

 
Francis Patrick Cunningham  B. Riley Wealth Management

International Assets Advisory, LLC

 
Sean Plunkett  No Results

 
Robert W. Strang III Next Financial Group, Inc.

AXA Advisors LLC

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According to FINRA Disciplinary actions for September 2026, 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 John Carines Chelsea Financial Services

Wells Fargo Clearing Servies, LLC
Francis Patrick Cunningham B. Riley Wealth Management

International Assets Advisory, LLC
Barrington Edwin Gist LPL Financial LLC

Morgan Stanely
Stephen Ray Quisenberry Oberon Securities, LLC

The Forbes Securities Group
Justin Thaddeus Ranger  Ameriprise Financial Services, LLC

Raymond James & Associates, Inc.

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Michael Graham (Michael Clifford Graham CRD# 3263494) was a broker and investment advisor last employed with LPL Financial (CRD# 6413) of El Paso, TX. He was previously employed with Principal Securities, Inc. (CRD# 1137) and Securian Financial Services, Inc. (CRD# 15296), also of El Paso. LPL Financial Services discharged Graham on 06/06/2025 alleging, “Failed to disclose and receive prior approval for participation in a prohibited outside business activity; participated in and directed clients to private investments.”Michael Graham (Michael Clifford Graham CRD# 3263494) was a broker and investment advisor last employed with LPL Financial (CRD# 6413) of El Paso, TX. He was previously employed with Principal Securities, Inc. (CRD# 1137) and Securian Financial Services, Inc. (CRD# 15296), also of El Paso. Continue reading ›

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Broker Clarice Saw Barred After SEC Charges Of EFE In 2023, Americans over 60 lost upwards of $28.3 billion, according to a study from the American Association of Retired Persons (AARP). Of that figure, 72% comes from “known others,” or someone the individual knows, including family, friends, care workers, financial representatives, and others. The remaining 28%, totaling $8 billion, is fraud and theft by strangers. Known as EFE, or Elder Financial Exploitation, it’s the “the illegal or improper use of an older adult’s funds, property, or assets,” according to the AARP. While there are civil and criminal penalties for committing fraud against someone over 60, most of the fraud goes unreported by the victims because of shame or fear of other retribution. Because elderly clients tend to be more vulnerable, brokers, financial advisors, and other trusted consultants have an easier time defrauding them. The addition of cognitive decline in some of these clients renders them particularly vulnerable and more likely to be taken advantage of by someone they trust. Only $7.8 billion of stolen client funds are reported to authorities. An additional $20.5 billion stolen but never reported. Elderly victims are more likely to avoid reporting being defrauded. The true dollar amount of EFE is likely much higher because of this under-reporting.Broker Clarice Saw Barred After SEC Charges Of EFE

In 2023, Americans over 60 lost upwards of $28.3 billion, according to a study from the American Association of Retired Persons (AARP). Of that figure, 72% comes from “known others,” or someone the individual knows, including family, friends, care workers, financial representatives, and others. The remaining 28%, totaling $8 billion, is fraud and theft by strangers. Continue reading ›

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According to FINRA Disciplinary actions for August 2026, 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
David Leslie Arlein  Cabot Lodge Securities LLC

Fintegra, LLC

 

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According to FINRA Disciplinary actions for August 2026, the following individuals were suspended from FINRA and currently cannot 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
Mark William Fowler  Raymond James Financial Services

WFG Investments, Inc.
Cynthia Marie Barrera  Morgan Stanley Smith Barney

Morgan Stanley & Co. Incorporated
Robert Anthony Guidicipietro

 

  Alexander Capital, L.P.

Arive Capital Markets
Walker Randolph Johnson Sigma Financial Corporation

J.P. Turner & Company, L.L.C
Patrick William Lofaro Rockwell Gloal Capita; LLC

Dalton Strategic Investment Services Inc.
Keith David Lundhagen Wells Fargo Clearing Services, LLC

UBS Financial Services Inc.
Ronald George Palmer Jr. Equitable Advisors, LLC

Macquarie Securities (USA) Inc.

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According to FINRA Disciplinary actions for August 2026, 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
Francisco M. Gomez  LPL Financial LLC

BBVA Securities Inc.
Chihyu Jerry Hsu  Park Avenue Securities LLC

Northwestern Mutual Investment
Richard A. Harris  HSC Securities (USA) Inc.

Wells Fargo Clearing Services, LLC
Joseph Frank Lauzon  LPL Financial LLC

Wachovia Securities, LLC

 
Dimitrios K. Michelis  US Financial Services Inc.

J.P. Morgan Securities LLC
Michael Montalvo Raymond James & Associates, Inc.

Cetera Investment Services LLC
Antonio Sandoval Wells Fargo Clearing Services, LLC

Chase Investment Services Corp.
John Charles Wilson II  Edward Jones

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Silver Law Group is investigating potential claims on behalf of investors who purchased KeyCity Capital and Lasater Capital private placements and other alternative investments through brokerage firm J. Alden Associates, Inc. and registered representatives Stephen Douglas Patterson Jr. and Nathan Daniel Goad.   Investments include, but are not limited to: KeyCity Capital Fund I KX Wealth Fund I KCAP RE Fund II KCAP RE Fund III KCAP RE Fund XI KCAP RE Fund XII KCAP Meadows at Ferguson KCAP Dominik KCAP Holleman Oaks KCAP Villa Gardens KCAP Lending Fund IV KCAP Lending Fund XIII KCAP Hive Funding KCAP TX College Station 4Silver Law Group is investigating potential claims on behalf of investors who purchased KeyCity Capital and Lasater Capital private placements and other alternative investments through brokerage firm J. Alden Associates, Inc. and registered representatives Stephen Douglas Patterson Jr. and Nathan Daniel Goad.   Investments include, but are not limited to:

  • KeyCity Capital Fund I
  • KX Wealth Fund I
  • KCAP RE Fund II
  • KCAP RE Fund III
  • KCAP RE Fund XI
  • KCAP RE Fund XII
  • KCAP Meadows at Ferguson
  • KCAP Dominik
  • KCAP Holleman Oaks
  • KCAP Villa Gardens
  • KCAP Lending Fund IV
  • KCAP Lending Fund XIII
  • KCAP Hive Funding
  • KCAP TX College Station 4

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