Articles Posted in FINRA Disciplinary Actions

According to FINRA Disciplinary actions for January 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   Ballard, Timothy   Securities Americva   National Planning Corp   Cunningham, Christopher   Fulcrum Securities…

Patrick Jermaine Phillips (CRD #4315963) is a former registered broker and investment advisor whose last employer was MSI Financial Services, Inc. (CRD #14251) of Chicago, IL. His previous employers include Citigroup Global Markets Inc. (CRD #7059), Ameriprise Financial Services, Inc. (CRD #6363) and Robert W. Baird & Co. Incorporated (CRD…

Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. (CRD #8174) of Coral Gables, FL. His previous employers include HSBC Securities (USA) INC. (CRD #19585), also of Coral Gables, Atlas One Financial Group, LLC (CRD #124057) of Miami,…

Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013.  Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008. Leone was barred from association with any FINRA member in all capacities. The…

John Galinsky (CRD #1513926) has been employed with First Dominion Capital since November 2017. Previous employment includes National Securities Corporation from January 2012 to November 2017, Fintegra LLC from January 2010 to December 2011 and Advanced Equities from November 1999 to October 2009. Galinsky was fined $7,500 and suspended from…

According to FINRA Disciplinary actions for December 2018, 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: NAME FORMER EMPLOYERS   Barrick, Tabor…

According to FINRA Disciplinary actions for December 2018, 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   Adamo, Gregory…

According to FINRA Disciplinary actions for December 2018, 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    Albin, William   Waddell & Reed   Metlife Securities Inc   Allen, David   Avenir…

Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard Pariser (CRD #2755015) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. His previous employers include SWS Financial Services,…

According to FINRA Disciplinary actions for November 2018, 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   Christopher Cervino   Primary Capital, LLC   COR Clearing LLC   Abdul Chowdhury   AXA…