Articles Posted in FINRA Disciplinary Actions

According to FINRA Disciplinary actions for October 2024, 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 Fanar Almosleh U.S.…

According to FINRA Disciplinary actions for September 2024, 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 September, 2024, 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 Boatright Newbridge Securities Corporation Summitt Brokerage Services, Inc. Robert Boyer Wells Fargo Clearing Services, LLC…

According to FINRA Disciplinary actions for September 2024, 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 Matthew Davis Charles…

According to FINRA Disciplinary actions for August 2024, 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   Ned Seitler…

According to FINRA Disciplinary actions for August 2024, 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 August, 2024, 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 Apolonides   Spartan Capital Securities, LLC   Southeast Investments, N.C., Inc.   Gerald Cocuzzo…

Steven Musielski (Steven Dwayne Musielski CRD# 2128821) is a previously registered broker whose last known employer was Cambria Capital, LLC (CRD#:133760) of Anaheim, CA. His previous employers include Spencer Edwards, Inc. (CRD#:22067, expelled by FINRA in 2019), J.P. Turner & Company, L.L.C. (CRD#:43177), and Gunnallen Financial, Inc (CRD#:17609), all of…

David Geake (CRD # 3088891) is a former registered broker and investment advisor at American Trust Investment Services (CRD # 3001). Geake has 20 pending Customer Disputes and a total of 39 total disclosures. He has been in the industry since 2002 and is currently barred from acting as a…

Robert Silvestri (Robert Allen Silvestri CRD# 2037669) is a former registered broker and investment advisor last employed with Aegis Capital Corp. (CRD# 15007) of Dallas, TX. His previous employers include Level Four Financial, LLC (CRD#:25700) of Allen, TX, Morgan Stanley (CRD#:149777), also of Dallas, and UBS Financial Services Inc. (CRD#:8174)…