Articles Posted in Stockbroker Misconduct

Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort Lauderdale, FL. He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. (CRD #705) of Boca Raton,…

Former broker Sean Aaron Brady (CRD #4365173) has been barred by FINRA after multiple customer complaints and he was discharged by his employer. Brady was last employed by First Allied Securities, Inc. (CRD #32444) of St. Louis, MO, discharged on 10/20/2017. He was previously employed by FFP Securities, Inc. (CRD…

William George Brunner (CRD #2610348) is a former registered broker and investment advisor. His last employer was Investment Planners, Inc. (CRD #18557) of Huntington, NY.  He was previously employed with First Midwest Securities, Inc. (CRD #21786) and Pointe Capital, Inc. (CRD #112097), also of Huntington. He resigned from Investment Planners…

In June, we told you about Matthew Evan Eckstein (CRD #2997245), who was a previously registered broker with Sisk Investment Services, Inc. (CRD #19406) of Syossett, NY. In addition to being registered there since 2015, Eckstein owned Sisk and was its CEO. FINRA also expelled Sisk Investment Services on 6/22/2018.…

Cindy Lucille Porto Chiellini (CRD #1015592) is a currently registered broker with Centaurus Financial, Inc. (CRD #30833) of Lexington, SC, since 2015. Previously, she worked with J.P. Turner & Company, L.L.C. (CRD #43177), Gunnallen Financial, Inc. (CRD #17609) and First Allied Securities, Inc. (CRD #32444), all of Lexington. She has…

Broker Donald Fowler (CRD #4989632) is a broker currently registered with Worden Capital Management LLC (CRD #148366) of Rockville Center, New York. He has been with Worden since 2014. He was previously employed by J.D. Nicholas & Associates, Inc. (CRD #44791) of Syosett, NY, and American Capital Partners, LLC (CRD…

Gregory Dean (CRD #4922996), currently employed with Worden Capital Management of Rockville, NY (CRD #148366) is the subject of multiple disclosures, mostly customer complaints. He is also the subject of a civil SEC complaint and one regulatory complaint, going back to 2013.   Dean’s previous employers include: D. Nicholas &…

Barry Garapedian (CRD #1039251) is a currently registered broker employed by Morgan Stanley (CRD #149777) of Westlake Village, CA. He has been with Morgan Stanley since 2009. He was previously employed by Citigroup Global Markets Inc. (CRD #7059), Lehman Brothers, Inc. (CRD #7506) and E. F. Hutton & Company, Inc.…

Anteneh Roberts (CRD #6414549) is a former registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ann Arbor, MI, from 05/15/2015 through 08/10/2017.  His previous employer was PNC Investments (CRD #129052) of Cleveland, OH. He is not currently registered…

If your financial advisor recommends an investment that is not approved by his firm, he may be selling away. Do you trust him or her to make the right investment decisions for you? Do they consult with you and allow you the freedom to review information on your own, and…