Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. (CRD# 15007) of Garden City, NY. His previous employers include National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. (CRD#:13755) of Port Washington, NY, and Oppenheimer & Co. Inc. (CRD# 249)…
Articles Posted in FINRA Disciplinary Actions
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2023
According to FINRA Disciplinary actions for December 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 Carlson Capital Financial Services, Inc. Integrity Funds Distributor, Inc. John Goodwin…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2023
According to FINRA Disciplinary actions for December 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 Thomas Cole…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2023
According to FINRA Disciplinary actions for December 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…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2023
According to FINRA Disciplinary actions for November 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 Charles Connors…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2023
According to FINRA Disciplinary actions for November 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…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement Nov 2023
According to FINRA Disciplinary actions for November 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 Patrick Cavanagh Spartan Capital securities, LLC National Securities Corporation Michael Digioia …
FINRA Bars Broker Shane Wilhelm For Failing To Respond To Request For Information
Shane Wilhelm (Shane Collins Wilhelm CRD# 4803933) is a former registered broker and investment advisor last employed with Fortune Financial Services, Inc. (CRD# 42150) of Moneta, VA. His previous employers include Truist Investment Services, Inc. (CRD#:17499), BB&T Securities, LLC (CRD# 142785), and Scott & Stringfellow, LLC (CRD# 6255) all of…
Broker Scott Matalon Barred From Industry After Failing To Provide FINRA Requested Documents
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. His previous employers include Ameriprise Financial Services, Inc. (CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury,…
D. Wray Rodgers Barred By FINRA After Investigation
D. Wray Rodgers (CRD# 2842993, aka, “D Wray Rodgers,” “D. Ray Rodgers,” and Wray Rodgers”) is a former registered broker last employed with Vining-Sparks IBG, LLC (CRD# 27502) and previously employed with ICBA Securities (CRD# 24088), both of Memphis, TN. He has been in the industry since 1997. On 5/20/2022,…