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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for March 2020, 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
  Michael Bressman   FCG Advisors, LLC
  Mary Ann Dineen   UBS Financial Services Inc.
  David Fagenson   Newbridge Securities Corporation
  UBS Financial Services Inc.
  Mark Figueroa   Spartan Capital Securities, LLC
  Arive Capital Markets
  Karen Kopatz   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Jordan Rodriguez   NYLife Securities LLC
  Frederick Stow   Raymond James & Associates, Inc.
  Wells Fargo Advisors, LLC
  Mark Wetherell   Kovack Securities Inc.
  Invest Financial Corporation
  Marcus Wright   Farmers Financial Solutions, LLC
  J.P. Morgan Securities LLC

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According to FINRA Disciplinary actions for March 2020, 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
  Barry Carson   Farmers Financial Solutions
  Lynn Cawthorne   Cambridge Investment Research, Inc.
  Investment Professionals, Inc.
  Prithviraj Dhandapani   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Davrion Hemphill
  Fernando Landicho   Transamerica Financial Advisors,Inc.
  World Group Securities, Inc.
  Megan McAlinden

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According to FINRA Disciplinary actions for March 2020, 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
  Eric Abrahams   Burch & Company, Inc.
  Stillwater Structured Finance, LLC
  Ronny Acluche   Citizens Securities, Inc.
  Morgan Stanley
  Mark Adams Sr.   Ameriprise Financial Services, Inc.
  Banc of America Investment Services, Inc.
  Omer Ali-Taha   BB&T Investment Services, Inc.
  Fairfax Wealth, LLC
  John Baron   Morgan Stanley
  J.P. Morgan Securities LLC
  Antonio Costanzo   Titus Rockefeller, LLC
  IFS Securities
  Peter Ingraham   Morgan Stanley
  UBS Financial Services Inc.
  Bruce Katz   Gilford Securities Incorporated
  Raymond James & Associates, Inc.
  Andrew Mandala   Burch & Company, Inc.
  Stillwater Structured Finance, LLC
  Steve Morris   Wynston Hill Capital, LLC
  Halcyon Cabot Partners, Ltd.
  Donald Padilla   National Securities Corporation
  Kestra Investment Services, LLC
  Thomas Polston   Stifel, Nicolaus & Company, Incorporated
  Advest, Inc.
  Virgil Richmond II   Wells Fargo Clearing Services, LLC
  J.P. Morgan Securities LLC
  Matthew Siliato   Wynston Hill Capital, LLC
  Spartan Capital Securities, LLC
  Steven Thrush   Summit Brokerage Services, Inc.
  Cambridge Investment Research, Inc.
  John Wyshak   Raymond James & Associates, Inc.
  Wedbush Securities Inc.

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Michael Carter (Michael Barry Carter) (CRD: #3232017) is a former registered broker and investment advisor whose last employer was Morgan Stanley (CRD#: 149777) of McLean, VA.  His previous employers include Ameriprise Financial Services, Inc. (CRD#:6363), Morgan Stanley & Co. Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. He has been in the industry since 1999. Carter’s record has five disclosures, three of which are customer disputes with settlements totaling $5,199,232.26Michael Carter (Michael Barry Carter) (CRD: #3232017) is a former registered broker and investment advisor whose last employer was Morgan Stanley (CRD#: 149777) of McLean, VA. His previous employers include Ameriprise Financial Services, Inc. (CRD#:6363), Morgan Stanley & Co. Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. He has been in the industry since 1999.

Carter’s record has five disclosures, three of which are customer disputes with settlements totaling $5,199,232.26: Continue reading

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Stephen Carver (a/k/a Stephen Corley Carver) (CRD# 2230161) of Peoria, Illinois, who was last registered with Lifemark Securities Corp., faces a pending customer dispute alleging elder abuse and seeking $9,300,000 in damages. Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. Baird & Co., Natcity Investments, Inc., and Dean Witter Reynolds Inc.Stephen Carver (a/k/a Stephen Corley Carver) (CRD# 2230161) of Peoria, Illinois, who was last registered with Lifemark Securities Corp., faces a pending customer dispute alleging elder abuse and seeking $9,300,000 in damages.

Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. Baird & Co., Natcity Investments, Inc., and Dean Witter Reynolds Inc. Continue reading

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In July 2019, the Financial Industry Regulatory Authority (FINRA), suspended Linda Zara (a/k/a Linda Zaramontoya) (CRD# 2322009) of Summit Brokerage Services, Inc. in Boca Raton for “borrow[ing] $44,292 from a 94 year old member firm customer without providing prior notice to, or obtaining prior written approval from her firm.” The conduct occurred while Zara was employed by Wells Fargo Clearing Services, LLC.In July 2019, the Financial Industry Regulatory Authority (FINRA), suspended Linda Zara (a/k/a Linda Zaramontoya) (CRD# 2322009) of Summit Brokerage Services, Inc. in Boca Raton for “borrow[ing] $44,292 from a 94 year old member firm customer without providing prior notice to, or obtaining prior written approval from her firm.” The conduct occurred while Zara was employed by Wells Fargo Clearing Services, LLC. Continue reading

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Ken Kavanagh (CRD#: 4502223) is a suspended broker who formerly worked for Morgan Stanley (CRD#: 149777) in New York City, Citigroup Global Markets (CRD#: 7059), and UBS Financial Services (CRD#: 8174). Ken Kavanaugh’s publicly-available FINRA BrokerCheck report lists 3 disclosures, including 1 customer dispute, 1 employment separation after allegations, and 1 regulatory action.Ken Kavanagh (CRD#: 4502223) is a suspended broker who formerly worked for Morgan Stanley (CRD#: 149777) in New York City, Citigroup Global Markets (CRD#: 7059), and UBS Financial Services (CRD#: 8174).

Ken Kavanaugh’s publicly-available FINRA BrokerCheck report lists 3 disclosures, including 1 customer dispute, 1 employment separation after allegations, and 1 regulatory action. Continue reading

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Bobby Coburn (CRD# 1464789) is a barred broker who formerly worked for Securities America, Inc. (CRD# 10205) in Fort Meade, FL. He previously worked for Brecek & Young Advisors (CRD# 40395), Legend Equities Corporation (CRD# 30999), Nationwide Securities (CRD# 11173), and others.Bobby Coburn (CRD# 1464789) is a barred broker who formerly worked for Securities America, Inc. (CRD# 10205) in Fort Meade, FL. He previously worked for Brecek & Young Advisors (CRD# 40395), Legend Equities Corporation (CRD# 30999), Nationwide Securities (CRD# 11173), and others.

Silver Law Group represents investors in arbitration claims against Securities America, which is a subsidiary of Ladenburg Thalmann. Continue reading

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Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691).Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691).

Silver Law Group represents investors in arbitration claims against UBS Financial Services. Our Florida investment fraud attorneys can represent you on a contingency fee basis. Continue reading

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According to FINRA Disciplinary actions for December 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
  Amparo, Nelson   Citizens Securities, Inc
  Santander Securities LLC
  Bethan, Frank   Quest Capital Strategies, Inc
  Wells Fargo Clearing Services, LLC
  Brown, Andrew   Worden Capital Management LLC
  Aegis Capital Corp
  Gonzalez, Frankie   Morgan Stanley
  Wells Fargo Advisors, LLC
  Horner, Marc   Triad Advisors LLC
  UBS Financial Services Inc
  Smith, John   Legend Securities, Inc
  NYLife Securities LLC
  Smith, Joseph III   Morgan Stanley
  Wells Fargo Advisors, LLC
  Williams, Jacob   U.S. Bancorp Investments, Inc
  Edward Jones

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