Securities Arbitration Lawyers Blog

Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. He worked for LPL from 02/27/2012 to 10/18/2017. Previously, Gardner worked for: Raymond Jones Financial Services, Inc. (CRD# 6694) of Fort…

Lorene Fairbanks (CRD# 2788572) (aka “Lorene Fairbanks Miller,” “Lori Miller”) has been suspended by FINRA for five months due to allegations of an improper financial relationship with a client and improper communications. Her last registered employment was with Ameriprise Financial Services (CRD# 6363). She is not currently registered with any…

FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints.  He has since been subjected to a second customer dispute after being terminated. Dragon was last employed by Berthel Fisher & Company Financial Services, Inc. (CRD#…

Palm Beach, Florida-based Gary Edward Adkin (CRD# 3084484) is currently registered as a broker and investment advisor employed by Stifel, Nicolaus & Company, Incorporated (CRD# 793.) Adkin has been with the firm since 12/4/2015, and was previously employed by Barclay’s and Lehman Brothers. In addition to his current registration with…

FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. The regulators also allege that Aegis CEO and owner Robert Eide was responsible for causing the violations when he failed to respond to reports of suspicious…

Jason Eric Zwibel (CRD# 2460258, aka, Jay Bell Zwibel) is a registered broker and investment advisor with Garden State Securities (CRD# 10083) in Wellington, FL. He has been with Garden State since 1/22/2010. He has worked as a broker since 1994, and previously worked for: GunnAllen Financial, Inc. (CRD# 17609),…

Silver Law Group is currently looking into customer allegations against Logan Burch Phillips, Jr. (CRD #1248589.) Phillips is a previously registered broker who last worked as a broker for Raymond James & Associates (CRD #705) in Jackson MS, from 2013 to 2016. He was previously employed by Morgan Keegan &…

Silver Law Group is currently investigating former financial advisor and broker Scott William Palmer (CRD #817586) after multiple customer disputes. His last employer was Janney Montgomery Scott, LLC (CRD# 463) of Hackensack, NJ, from 03/02/2007 to 06/13/2017. Palmer is not currently registered as a broker or investment advisor, and no…

Silver Law Group is investigating former broker Edward Vincent Mirabella, Jr. (CRD #2843670) for multiple customer complaints.  His last known employer was National Securities Corporation in their Edison, NJ location (CRD #7569), from 08/24/2009 to 05/13/2016. Mirabella was previously employed with: Aura Financial Services (CRD #42822) in Islandia, NY, from…

Richard Shotz (CRD# 1681893) has been with Wells Fargo in Daytona Beach, Florida since 2016. He was recently terminated from Wells Fargo due to a FINRA regulatory action against him in which Shotz was suspended for four months and ordered to pay fines. FINRA found that Shotz engaged in an…