Articles Posted in Stockbroker Misconduct

Jonathan William Iraggi (CRD #5857254) is a former registered broker whose last employer was National Securities Corporation (CRD #7569) of Morganville, NJ. His previous employers include Garden State Securities, Inc. (CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC (CRD #146251) and Portfolio Advisors Alliance, Inc. (CRD #101680) of…

Atul Makharia (CRD #5070762) is a registered broker currently employed with Centaurus Financial, Inc. (CRD #30833) of Lexington, SC. Makharia’s previous employers are J.P. Turner & Company, L.L.C. (CRD #43177), Gunnallen Financial, Inc. (CRD #17609), and First Allied Securities, Inc. (CRD #32444), also of Lexington, SC. Makharia has been in…

Ricky Allen Mantei (CRD #1098981, aka “Ricky Allen Mantel”) is a registered broker currently employed with Centaurus Financial, Inc. (CRD #30833) of Lexington, SC. His previous employers include J.P. Turner & Company, L.L.C. (CRD #43177), Gunnallen Financial, Inc. (CRD #17609), First Allied Securities, Inc. (CRD #32444), also of Lexington, SC.…

Kevin Richard Wilson (CRD #326701) is a registered broker currently employed with National Securities Corporation (CRD #7569) of New York, NY. His previous employers include Laidlaw & Company (UK) LTD. (CRD #119037), Aegis Capital Corp. (CRD #15007) and Gilford Securities Incorporated (CRD #8076), all of New York, NY. He has…

Robert Abramowitz (CRD #4437589) is a currently registered broker and investment advisor employed with National Securities Corporation (CRD #7569) of Melville, NY. Previous employers include Oppenheimer & Co. Inc. (CRD #249) of Jericho, NY, Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, and Wells Fargo Advisors, LLC…

Silver Law Group and The Law Firm of David R. Chase have filed their second FINRA arbitration claim against Independent Financial Group alleging its broker recommended the services of an individual who was running a Ponzi scheme. According to the securities arbitration complaint, the Claimant’s elderly father became a client…

Silver Law Group has filed a FINRA arbitration claim against IFS Securities and Voya Financial Advisors, Inc., two firms that employed Greenville, South Carolina-based broker James T. Flynn (CRD# 3082615). In the securities arbitration complaint, the Claimant alleges that she entrusted Flynn with a significant amount of money to manage…

Kari Marlin Bracy (aka Kari Marlin Farwell, CRD #5656186) is a registered broker employed by NYLIFE Securities LLC (CRD #5167) of Jacksonville, FL. She has been in the industry since 2009, and only with NYLIFE. Bracy is the subject of one disclosure, filed on 7/31/2018. In it, the client claims…

Dominick Joseph Diorio, Jr. (CRD #2447817) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. He was previously employed with Global Arena Capital Corp (CRD #16871) of New York, NY, Prestige Financial Center, Inc. (CRD #30407), also of Melville, and S.W. Bach & Company…

Craig Aaron Bonn (CRD #2280460) is a currently registered FINRA broker employed with National Securities Corporation (CRD #7569) of New York, NY. He was previously registered with Laidlaw & Company (UK) LTD. (CRD #119037) and Sands Brothers & Co., LTD. (CRD #26816), both also of New York, NY. He has…