Articles Posted in Stockbroker Misconduct

According to FINRA Disciplinary actions for Aug 2022, 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   Teresa Gomez…

According to FINRA Disciplinary actions for Aug 2022, 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…

Shawn Good (Shawn Edward Good CRD# 2022168) is a former registered broker and investment advisor whose last known employer was Morgan Stanley (CRD#: 149777) of Wilmington, NC. His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Wilmington, and Charles Schwab & Co., Inc. (CRD#:5393) of San Francisco, CA.…

Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East…

Christopher Passero (Christopher John Passero CRD# 2517681) is a registered broker and investment advisor who is currently registered with Money Concepts Capital Corp (CRD#: 12963) of Hurricane, West Virginia. He was previously employed with Emissary Financial Group, Inc. (CRD#:44568) of Mentor, OH, and Money Concepts Capital Corp (CRD#:12963) of Palm…

According to FINRA Disciplinary actions for June 2022, 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 June 2022, 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   Dalila Costa-Leroy   Spartan Capital Securities, LLC   National Securities Corporation   Carlos Guzman  …

According to FINRA Disciplinary actions for June 2022, 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   Kyleigh Haynes…

Silver Law Group is representing and filing claims on behalf of multiple investors who lost money on GWG Holdings L Bonds. These “alternative investments” were marketed to retirees looking for a safe and stable form of income. The illiquid, non-traded investments were sold by licensed financial representatives and their brokerage…

Silver Law Group is representing GWG Holdings L Bonds investors. GWG stopped paying dividends in January, 2022. GWG then suspended sales of the L Bonds. Following the company’s Chapter 11 bankruptcy in April, investors are wondering if they will be able to recover any of their money from this company.…