A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for December 2020, 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…
According to FINRA Disciplinary actions for December 2020, 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 Katie Blando J.P. Morgan Securities LLC Wells Fargo Advisors, LLC Thomas Marino…
According to FINRA Disciplinary actions for December 2020, 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 Michael Albarella…
FINRA has fined three Cetera-affiliated firms a total of $1M after failing to supervise a number of their representatives who were also affiliated with other registered investment advisors who were outside of the firms. The $1m figure is a compendium of fines divided by the firms: Cetera Advisor Networks LLC,…
Michael Pina (Michael Kris Pina CRD#: 5922058) is a former registered broker whose last known employer was PFS Investments Inc. (CRD#:10111) of Fort Lauderdale, FL. He has been in the industry since 2011, and began working with PFS in 2013. A client filed a dispute on 2/4/2019 alleging that she…
Peter Ianace (Peter Vincent Ianace CRD#: 3238078) is a formerly registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Plano, TX. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and…
Christ Baltas (Christ Elias Baltas CRD: 2570499) is a former registered broker whose last known employer was Worden Capital Management LLC (CRD#:148366) of Melville, NY. His previous employers include Wilmington Capital Securities, LLC (CRD#:133839) also of Melville, Kovack Securities Inc. (CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc.…
According to FINRA Disciplinary actions for November 2020, 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 John Evans…
According to FINRA Disciplinary actions for November 2020, 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 William Baris Network 1 Financial Securities Inc. Joseph Stone Capital, LLC Riza Hernandez…
According to FINRA Disciplinary actions for November 2020, 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…