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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Sandra Acree   Fidelity Brokerage Services
  Andrew Baker   Suntrust Investment Services
  Wells Fargo Advisors
  William Cannon   Lifemark Securities Corp
  Fortune Financial Services
  Patrick Devaney II   Financial West Group
  Sanford Roberts, Inc
  James D’Meo   Kenneth Jerome & Co
  Equity Services, Inc
  David Drees   American Financial Services
  Clinton Dunbar   Union Capital Company
  IFS Securities
  George Edwards   Edward Jones
  Cetera Investment Services
  Charles Frank   NYLife Securities
  MWA Financial Services
  Jack Lowrey Jr.   Ameriprise Financial Services
  NBC Securities
  Jeffrey Lundstrom   Signator Investors, Inc
  Transamerica Financial Advisors
  Uriah Mitchell   JP Morgan Securities
  Raymond Montchal   Morgan Stanley
  Citigroup Global Markets
  Robert Neuedorf   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith

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According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Patrick Auckland   TIAA-VREF Individual & Institutional Services
  Morgan Stanley
  Matthew DiNinno   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith
  Nicholas Diesso   Ameriprise Financial Services
  Ameriprise Advisor Services
  Roger Faubel   Chelsea Financial Services
  National Securities Corp
  Keir Harner   Securities America
  Waddell & Reed
  Heath Harris   Citigroup Global Markets Inc
  Wells Fargo Clearing Services
  Ross Jordan   BBVA Securities
  Morgan Stanley
  Charles LaMarca   Benjamin & Jerold Brokerage
  Meridian Equity Partners
  Ernest Romer III   Corecap Investments, Inc
  L.M. Kohn & Company
  Christopher Sanford   Natwest Markets Securities
  Amherst Pierpont
  Matthew Siliato   Wynston Hill Capital
  Spartan Capital Securities

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According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

 

NAME FORMER EMPLOYERS
  Carolyn Andrews   UBS Financial Services
  Morgan Keegan & Company
  Meiewyn Avent   Alliance-One Investments
  Metlife Investors Distribution Co
  Robert Corley   Fidelity Brokerage Services
  Redstone Securities
  Jennifer Margaret
  Francisco Garcia   Park Avenue Securities
  EQ Financial Consultants
  Sparkle Griffen   UBS Financial Services
  Merrill Lynch, Pierce, Fenner & Smith
  Robert High II   First National Equity  Corp
  Chase Investment Services
  Richard LaBare   Union Capital Company
  Morgan Stanley & Co Inc
  Arnold Mariampolski   AXA Advisors
  Robert Powers   Emerging Growth Equities
  Roth Capital Partners
  Brandon Yasso   JP Morgan Securities

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Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Block began in the industry in 1990. In February, 2019 FINRA barred him from acting as a broker after he failed to respond to a request for information. His publicly-available FINRA BrokerCheck report lists 17 disclosures from 1999 to 2019. 12 of the disclosures are customer disputes, and 5 are regulatory events.Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Continue reading

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The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients. According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases.The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients.

According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases. Continue reading

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According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Bender, Charles III   Suntrust Investment Services, Inc
  JP Morgan Securities LLC
  Bingham, Daniel   Essex Securities LLC
  Investors Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities, Inc
  D’Meo, James   Kenneth, Jerome & Co, Inc
  Equity Services, Inc
  Gallacher, David   LPL Financial LLC
  AG Edwards & Sons Inc
  Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Associates
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gurrola, Kenneth   Muriel Siebert & Co., Inc
  Kaufman Bros, LP
  Harris, Adrianna   Charles Schwab & Co., Inc
  Hose, Audrey   UBS Financial Services Inc
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services, Inc
  Laishes, Brian   Investacorp, Inc
  Commonwealth Financial Network
  May, Timothy   One America Securities, Inc
  Signator Investors, Inc
  Noto, Philip   First Standard Financial Company
  Alexander Capital, LP
  Saljooki, Yousuf   Worden Capital Management LLC
  SW Financial
  Scarfone, Bryce   HSBC Securities
  Siegel, Craig   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Roger Takami   Voya Financial Advisors, Inc
  LPL Financial Corporation
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors, Inc
  Kestra Investment Services, LLC
  Zhang, Xtangyu   Wells Fargo Clearing Services, LLC
  LPL Financial LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Published on:

According to FINRA Disciplinary actions for July 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Bang, Gregory   NYLIfe Securities LLC
  Block, Gabriel   First Standard Financial Company
  National Securities Corporation
  Cardwell, Harlan III   Prospera Financial Services, Inc
  Oxford Financial Group
  Duchan, Patricia   UBS Financial Services Inc
  Golan, Rafael   Crystal Bay Securities Inc.
  Independent Financial Group, LLC
  Kane, Jordan   Citizens Securities, Inc
  Martinez, Joseph   Pruco Securities, LLC
  The Prudential Insurance Company of America
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities, Inc
  Weldon, Benjamin   State Farm VP Management Corp

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Deblois, Matthew   The Champion Group, Inc
  McNally Financial Services Corp
  Dewaay, Donald Jr.   Dewaay Financial Network, LLC
  VSR Financial Services, Inc
  Freeman, Michael   Spartan Capital Securities, LLC
  Legend Securities, Inc
  Fuzie, Cindy   Morgan Stanley
  MML Investors Services, LLC
  Hernandez, Evelyn   Morgan Stanley
  Chase Investment Services
  Barry, Jin   Spartan Capital Securities, LLC
  Lampert Capital Markets Inc
  LaVolpe, Michael   Meyers Associates, LP
  Leonard, William   JH Darbie & Co, Inc
  BMS Securities, LLC
  Walsworth, Peter   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Andrews, Carolyn   UBS Financial Services Inc.
  Morgan Keegan & Company, Inc
  Avent, Meiewyn   Alliance-One Investments, LLC
  Metlife Investors Distribution Company
  Bougopoulkos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cook, Marian   Farmers Financial Solutions, LLC
  Corley, Robert   Fidelity Brokerage Services LLC
  Redstone Securities, Inc
  Detamore, Craig   Allstate Financial Services, LLC
  Dysart, Jennifer
  Friedman, Steven   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Garcia, Francisco   Park Avenue Securities
  EQ Financial Consultants Inc
  Griffin, Sparkle   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Heilman, Peter   Edward Jones
  High, Robert   First Financial Equity Corp
  Chase Investment Services Corp
  Irizarry, Melissa   LPL Financial LLC
  Invest Financial Corp
  LaBare, Richard   Union Capital Company
  Morgan Stanley & Co Inc
  Mariampolski, Arnold   AXA Advisors
  Ohel, Ziv   CFD Investments, Inc
  Ameriprise Financial Services, Inc
  Ortega, James   Allstate Financial Services, LLC
  Powers, Robert   Emerging Growth Equities, LTD
  Roth Capital Partners, LLC
  Rubio, Miguel   State Farm VP Management Corp
  Soto, Rani   Prudential Investment Mgmt Services LLC
  Alliance Bernstein Investments, Inc
  Thompson-Owens, Terrell
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Yasso, Brandon   JP Morgan Securities LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Published on:

According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Andrews, Helen   Morgan Stanley
  Barclays Capital Inc
  Andreyeva, Tatyana   Westpark Capital, Inc
  Fordham Financial Management, Inc
  Basarian, Gary   Royal Alliance Associates, Inc
  Integrated Resources Equity Corp
  Bowen, Heath   Allegis Investment Services, LLC
  Signator Financial Services, Inc
  Cohen, Michael   Dinosaur Financial Group, LLC
  IFS Securities
  Gendlek, Francis   IFS Securities
  TFS Securities, Inc
  Hartnett, Richard   Morgan Stanley
  CIBC World Markets Corp
  Kanoy, Anson   Raymond James & Assoc, Inc
  Wells Fargo Advisors, LLC
  Miller, Eric   Scottsdale Capital Advisors Corp
  Rocky Mountain Securities & Investments, Inc
  Murray, Stephen   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  Ramcharran, Rameshwar   Ameriprise Financial Services, Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Romer III, Ernest   Corecap Investments, Inc
  L.M. Kohn & Company
  Rumayor, Juan   Farmers Financial Solutions, LLC
  HSBS Securities (USA) Inc
  Salcedo, Alex   Scottrade, Inc
  Wells Fargo Clearing Services, LLC
  Webb, James Jr.   Citigroup Global Markets Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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