Securities Arbitration Lawyers Blog

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…

The elder financial fraud allegations reportedly cost elderly investors over $1M of retirement savings Once a prominent Methodist pastor in Houston, Texas, Kirbyjon Caldwell is now charged by the SEC with numerous counts of money laundering and wire fraud. The charges are directly related to a scheme Caldwell and his…

Silver Law Group continues to investigate Perry Santillo Jr. (“Santillo”), founder and chief executive of High Point Wealth Management. According to a recent Investment News article, Santillo was barred by Maryland regulators for “dishonest and unethical trade practices,” that included selling unregistered securities by fraudulent means. Santillo allegedly solicited clients…

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…

Following the SEC charging five individuals with fraud related to a Ponzi scheme, Bank of America (“BOA”) has now been sued over its involvement with the First Nationle scheme. The class-action suit on behalf of multiple investors who lost money alleges that BOA provided more than 100 accounts for the…

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 &…