Articles Posted in Stockbroker Misconduct

Christopher Bond (Christopher Edward Bond CRD# 4658534) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD#: 7569) of Melville, NY. He was previously employed with Gunnallen Financial, Inc (CRD#:17609) of Tampa, FL and Ehrenkrantz King Nussbaum, Inc. (CRD#:113525, expelled by FINRA on 10/12/2012) of Melville,…

Jordan Whitacre (Jordan David Whitacre CRD# 5828900) is a former registered broker and investment advisor whose most recent employer was Arkadios Capital (CRD#:282710) of Anderson, SC. His previous employers were Triad Advisors LLC (CRD#:25803) and The Investment Center, Inc. (CRD#:17839), also of Anderson. He has been in the industry since…

Darryl Cohen (Darryl Matthew Cohen CRD# 2786613) is a former registered broker and investment advisor whose last known employer was Morgan Stanley (CRD#:149777) of Westlake Village, CA. His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Westlake Village, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of…

According to FINRA Disciplinary actions for April 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   Mamdoh Abas   Cetera Advisor Networks LLC   ProEquities, Inc.   John Agostino   LPL…

According to FINRA Disciplinary actions for April 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   Antonio Bestard…

According to FINRA Disciplinary actions for April 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…

Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of…

Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3/13/2020. He has been…

Michael Knittel (Michael Murray Knittel CRD# 3274235) is a currently registered broker and investment advisor whose last known employer is Fortune Financial Services, Inc. (CRD#:42150) of El Dorado Hills, CA. His previous employers include J.W. Cole Financial, Inc. (CRD#:124583) and Financial Advisers Of America, LLC (CRD#:142170), both of Folsom, CA,…

Joseph La Scala (Joseph Brian La Scala CRD# 3070261) is a registered broker and a previously registered investment advisor whose current employer is Aegis Capital Corp. (CRD#: 15007) of Melville, NY. His previous employers include Paulson Investment Company, Inc. (CRD#:5670), Gunnallen Financial, Inc. (CRD#:17609) of Hauppauge, NY, and Investec Ernst…