Articles Posted in Stockbroker Misconduct

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 (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,…

Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. His previous employers include Sagepoint Financial, Inc. (CRD# 133763) of Fort Lauderdale, FL, MetLife Securities Inc. (CRD# 14251) of West Palm Beach,…

Jermaine Benjamin (CRD# 6152653, Jermaine K Benjamin, Jermaine Kahlil Benjamin) is a former registered broker and investment advisor last employed by Raymond James Financial Services, Inc. (CRD# 6694) of St. Petersburg, FL, and Pruco Securities, LLC. (CRD# 5685) of Tampa, FL. He has been in the industry since 2013. Benjamin…

Leslie Jackson (Leslie Don Jackson CRD# 2176917) is a previously registered broker and investment advisor last employed with Momentum Independent Network Inc. (CRD# 17587), of Dallas Texas, where he spent his entire 31-year career. He began in the industry at Momentum in 1991. Momentum discharged Jackson on 12/9/2022 and filed…

Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. (CRD# 31029) of Hato Rey, PR. His previous employers included Oriental Financial Services Corp. (CRD# 29753) of Ponce, PR, Samuel A Ramirez & Co., Inc. (CRD# 6963) of…

Fernando Silva (CRD# 7326519) is a former registered broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Tucson, AZ. His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. He has been in the business since 2021. Morgan Stanley terminated Silva’s employment on 9/8/2022 amid…

John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment…

John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. (CRD#:7059) of El Segundo, CA, and Merrill Lynch,…

Brian Wurdemann (Brian M. Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. His previous employers include UBS Financial Services Inc. (CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and…