A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for May 2019, 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody,…
According to FINRA Disciplinary actions for May 2019, 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 Anderson, Andy…
Scott J. Donato (CRD#: 2336331) is a former registered broker and investment advisor who was last employed with Morgan Stanley (CRD#:149777) of Miami, FL, until 2017. He previously worked for two different Morgan Stanley companies, (CRD#: 8209 and 7556) since 1993. No current employment information is available. Scott Donato is…
Marcus E. Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Chicago, IL, from 2/7/2006 through 12/18/2018. No current or additional employment information is available. Marcus Boggs is the subject of five disclosures.…
John-Aaron Lenhert is a former registered broker and investment advisor whose last (and only broker) employer was Morgan Stanley (CRD#:149777) of Laguna Nigel, CA. No current employment information is available. He has been in the industry since 2011. Morgan Stanley terminated Lenhert’s employment on 1/12/2017, after being notified of allegations…
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…
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…
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…
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…
According to FINRA Disciplinary actions for April 2019, 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 Austin, Phillip…