A National Securities Arbitration & Investment Fraud Law Firm
Daniel John Flores (CRD #2908027) is a previously registered broker and investment advisor whose last employer was Woodbury Financial Services, Inc. (CRD #421) of Appleton, WI. His previous employers include Princor Financial Services Corporation (CRD #1137) of Neenah, WI, Gunnallen Financial, Inc (CRD #17609) and Sii Investments, Inc. (CRD #2225),…
Alex Gerardo Herrera (CRD #3204779) is a former registered broker and investment representative whose last employer was UBS Financial Services Inc. (CRD #8174) of Coral Gables, FL. His previous employers include HSBC Securities (USA) INC. (CRD #19585), also of Coral Gables, Atlas One Financial Group, LLC (CRD #124057) of Miami,…
Shakela Yashika Carter (CRD #4321231) is a former registered broker and investment advisor who was last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Lauderdale, FL. Before becoming licensed, she was employed with Bank of America and Capital Strategies, also of Fort Lauderdale. She started…
Anthony Sica (CRD #1332626) has been employed by Joseph Gunnar since November 2003. Previous employment includes Wachovia Securities, LLC from January 2001 to October 2003, Prudential Securities Incorporated from April 1993 to January 2001, Lehman Brothers Inc. from August 1985 to April 1993 and McLaughlin, Piven, Vogel Inc. from January…
George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. Previous employment included Wells Fargo Advisors, LLC from January 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. G. Edwards & Sons, Inc. from November 2000 to January 2008.…
Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013. Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008. Leone was barred from association with any FINRA member in all capacities. The…
John Galinsky (CRD #1513926) has been employed with First Dominion Capital since November 2017. Previous employment includes National Securities Corporation from January 2012 to November 2017, Fintegra LLC from January 2010 to December 2011 and Advanced Equities from November 1999 to October 2009. Galinsky was fined $7,500 and suspended from…
David Krumrey (CRD #4121845) was employed by Oppenheimer & Co, Inc. from March 2009 through September 2017. Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009. Krumrey is barred from association with an FINRA…
Vicente Davila (CRD #4419824) was employed by Morgan Stanley from April 2016 through February 2018. Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. Davila was suspended on April 27, 2018, from associating…
Steven Pagartanis (CRD #1958879) was employed by Lombard Securities Inc. from September 2017 through March 2018. Previous employment included Cadaretm Grant & Co, Inc. from September 2012 to March 2017 and Woodbury Financial Services, Inc. from August 2011 to September 2012. Pagartanis was barred from association with any FINRA member…