Broker Yassin Mohamed (CRD #1673281) is a barred broker who formerly worked for National Securities Corporation (CRD#: 7569). His other former employers include Morgan Stanley (CRD#: 149777), UBS Financial Services Inc. (CRD#: 8174), and Prudential Securities Incorporated (CRD#: 7471).
Mohamed is the subject of five disclosures, including 2 customer disputes, 2 regulatory disputes, and 1 termination. Continue reading
David Howard Fagenson (CRD#: 1652012) is a previously registered broker and current investment advisor whose last employer was Newbridge Securities Corporation (CRD#:104065) of Boca Raton, FL. His previous employers include UBS Financial Services Inc. (CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. No current employment information is available. He has been in the business since 1987. Continue reading
According to FINRA Disciplinary actions for May 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 |
| Bang, Gregory | NYLife Securities LLC |
| Bishop, Tywan | Charles Schwab & Co, Inc |
| ETrade | |
| Block, Gabriel | First Standard Financial Company LLC |
| National Securities Corporation | |
| Duchan, Patricia | UBS Financial Services Inc |
| Hovermale, Jeffrey | Sovereighn Legacy Securities, Inc |
| Sigma Financial Corporation | |
| Kane, Jordan | Citizens Securities, Inc |
| Martinez, Joseph | Pruco Securities, LLC |
| The Prudential Insurance Company of America | |
| Norris, Timothy | BMO Harris Financial Advisors, Inc |
| HarrisDirect LLC | |
| Weldon, Benjamin | State Farm VP Mgmt Corp |
| Ben Weldon Insurance Agency |
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.
According to FINRA Disciplinary actions for May 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 |
| Bethan, Frank | Quest Capital Strategies, Inc |
| Wells Fargo Clearing Services, LLC | |
| Cody, Jill | Concorde Investment Services, LLC |
| Westminster Financial Securities, Inc | |
| Cody, Richard | IFS Securities |
| Concorde Investment Services, LLC | |
| Genovese Michael | Laidlaw & Company (UK) LTD |
| Rockwell Global Capital LLC | |
| Guderyon, John | WM Smith & Co |
| Crest Capital LLC | |
| Laboranti, Jeffrey | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Martino, Andrew | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Simanski, Douglas | Next Financial Group, Inc |
| Advantage Capital Corporation | |
| Valladolid, Guillermo | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Wadsworth, Jackie | IMS Securities, Inc |
| Acumen 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.
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.
According to FINRA Disciplinary actions for May 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 |
| Anderson, Andy | ProEquities, Inc. |
| PFS Investments Inc, | |
| Bishop, Tywan | Charles Schwab & Co, Inc |
| ETrade Securities LLC | |
| Conrekas, Edward | J.W. Cole Financial, Inc |
| Morgan Stanley | |
| Donato, Scott | Morgan Stanley |
| Flaningan, Joel | NYLife Securities LLC |
| Synergy Investment Services LLC | |
| Johnson, Anthony | |
| Marnelego, Christopher | First Standard Financial Company LLC |
| Merriman Capital, Inc | |
| Ness, Valerie | |
| Norris, Timothy | BMO Harris Financial Advisors, Inc |
| HarrisDirect LLC | |
| Tudor, Mark | Raymond James Financial Services, Inc |
| Morgan Keegan & Company | |
| Vrazel, Patsy | |
| Worthington, Bruce | Founders Financial Securities LLC |
| Commonwealth Financial Network |
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.
Scott J. Donato (CRD#: 2336331) is a former registered broker and investment advisor who was last employed with Morgan Stanley (CRD#:149777) of Miami, FL, until 2017. He previously worked for two different Morgan Stanley companies, (CRD#: 8209 and 7556) since 1993. No current employment information is available.
Scott Donato is the subject of 10 disclosures dating back to 2001. The most recent, on 12/11/2018, is a FINRA regulatory action in which he failed to respond to a request for information from FINRA. He was notified by letter of his suspension on 3/14/2019, and failed to request a termination of his suspension by the three month deadline. FINRA barred Donato indefinitely in all capacities effective 3/14/2019. Continue reading
Marcus E. Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Chicago, IL, from 2/7/2006 through 12/18/2018. No current or additional employment information is available.
Marcus Boggs is the subject of five disclosures. Three customer disputes were filed on 11/21/2018, 12/16/2018 and 12/17/2018, all alleging unauthorized ACH transfers of funds into an American Express account, totaling $5,601,758.71. Continue reading
John-Aaron Lenhert is a former registered broker and investment advisor whose last (and only broker) employer was Morgan Stanley (CRD#:149777) of Laguna Nigel, CA. No current employment information is available. He has been in the industry since 2011.
Morgan Stanley terminated Lenhert’s employment on 1/12/2017, after being notified of allegations that he borrowed money from three member firm clients, against FINRA and the firm’s policies. Continue reading
Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. (CRD#:46214) of New York, NY. His previous employers include Wunderlich Securities, Inc. (CRD#:2543), also of New York, J.P. Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. (CRD#:25574) of Yorktown Heights, NY. He has been in the industry since 2010.
Minichino was the subject of two FINRA actions that ultimately led to his bar from working as a broker. The first was filed on 6/25/2018, in response to his failure to comply with an arbitration award and/or settlement agreement. He was suspended effective 9/13/2018 indefinitely, until the amount due is paid (which is not listed.) Continue reading
Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.
On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. No additional information is available. Continue reading
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