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Articles Posted in FINRA Disciplinary Actions

Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996.
Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm.Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996.

Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm. Continue reading ›

Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000.
Sosa was “permitted to resign” from Sagepoint (now Osaic Services, Inc.) on 7/8/2022 when the firm discovered that he had been named contingent beneficiary and successor trustee to a client’s living trust document in their file. This violated Sagepoint’s policies and procedures. However, Sosa stated that he was unaware of these designations. The firm found no evidence that Sosa had acted as a trustee or received any benefit from the client's trust.Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000. Continue reading ›

According to FINRA Disciplinary actions for June 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Shoaib Qureshi   J.P. Morgan Securities LLC
  First Republic Securities Company, LLC
  Annie Simons

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According to FINRA Disciplinary actions for June 2024, 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
  James Brown   American Independent Securities Group, LLC
  Edward Jones
  Chun Elmejjad   Equitable Advisors, LLC
  Sylviah Kemunto
  Jonathan Long   Cambridge Investment Research, Inc.
  Cetera Financial Specialists LLC
  Thomas Prieur   Lincoln Financial Advisors Corporation
  Carlos Ramirez   Citizens Securities, Inc.
  Key Investment Services LLC
Shaquane Smith-Thompson   J.P. Morgan Securities LLC

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According to FINRA Disciplinary actions for May 2024, 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
  Kwame Aduesi   Morgan Stanley
  J.P. Morgan Securities LLC
  Brittany Anderson
  Gianluca De Berardinis   Morgan Stanley
  Quad Capital, LLC
  Brian Hill
  Monu Joseph   Rosenblatt Securities Inc.
  CIBC World Markets Corp.
  Quintosha Thomas

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According to FINRA Disciplinary actions for May 2024, 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
  Helen Andrews   Morgan Stanley
  Barclays Capital Inc.
  Christine Dormier   UBS Financial Services Inc.
  Wells Fargo Investments, LLC
  David Ferneding   Stifel, Nicolaus & Company, Incorporated
  Wells Fargo Clearing Services, Inc.
  Matthew Grady   Barclays Capital Inc.
  American Research & Management Company
  Leonardo Hernandez III   Citigroup Global Markets Inc.
  LPL Financial LLC
  Seth Horowitz   J.P. Morgan Securities LLC
  UBS Financial Services Inc.
  Jeffrey Nemesi   Falcon Square Capital, LLC
  Donald Smith   Provident Private Capital Partners, Inc.
  Vestax Securities Corporation

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According to FINRA Disciplinary actions for May 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Ian Geeves   Vanderbilt Securities, LLC
  LPL Financial LLC
  Ned Seitler   Charles Schwab & Co., Inc.
  Neuberger Berman Management Inc.
  Timothy Sullivan   International Assets Advisory, LLC
  SII Investments, Inc.
  Kirkland Wilson   Cetera Advisor Networks LLC
  Securian Financial Services, Inc.

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According to FINRA Disciplinary actions for April 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
James Brown American Independent Securities Group, LLC
Edward Jones
Victor Droubie jr. LPL Financial LLC
Wells Fargo Clearing Services, LLC
Chun Elmejjad Equitable Advisors, LLC
AXA Advisors, LLC
Jonathan Gervaise Jackson National Life Distributors LLC
Pruco Securities, LLC
Jonathan Long Cambridge Investment Research, Inc.
Cetera Financial Specialists LLC
Thomas Prieur Lincoln Financial Advisors Corporation
The Lincoln National Life Insurance Company
Ronald Wells II Northwestern Mutual Investment Services, LLC

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According to FINRA Disciplinary actions for April 2024, 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
Kwame Adusei Morgan Stanley
J.P. Morgan Securities LLC
Kevin Arvoy D.A. Davidson & Co.
Raymond James & Associates, Inc.
Stephen Florio Cambridge Investment Research, Inc..
Raymond James & Associates, Inc.
Mitchell Roby Wells Fargo Clearing Services, LLC
Raymond James Financial Services, Inc.

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According to FINRA Disciplinary actions for April 2024, 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
Vinessa Christian UBS Financial Services Inc.
RBC Dain Rauscher Inc.
Cody Coffey Allstate Financial Services, LLC
Denzel Coleman J.P. Morgan Securities LLC
Wells Fargo Clearing Services, LLC
John Kersey Northwestern Mutual Investment Services, LLC
Robert W. Baird & Co. Incorporated

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