A National Securities Arbitration & Investment Fraud Law Firm
Mario Martinez (Mario L. Martinez, CRD# 6144561) is a former registered broker and investment advisor last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Fort Lauderdale, FL. He was previously employed with AXA Advisors, LLC (CRD# 6627) of Miami, FL, and has been in the industry since 2013. Continue reading ›
According to FINRA Disciplinary actions for March 2025, 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 |
| Mark Brosa | Ameriprise Financial Services, LLC |
| Edward Jones | |
| Ryan Clayton | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| First Citizens Investor Services, Inc. | |
| Christopher Hale | |
| Cassandra Heitz | LPL Financial LLC |
| Investment Centers of America, Inc. | |
| Desmond James-Jones | Equitable Advisors, LLC |
| AXA Advisors | |
| Peter Lawrence | American Portfolios Financial Services, Inc. |
| Questaer Capital Corporation | |
| Gustavo Miramontes | Oppenheimer & Co. Inc. |
| Wedbush Securities Inc. | |
| Ryan Taleghani | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Vanessa Webber |
According to FINRA Disciplinary actions for March 2025, 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 |
| Yiu Yeung | Pacific Century Securities, LLC |
| Michael Banks | Morgan Stanley |
| Fidelity Brokerage Services LLC | |
| Juan Gomez | |
| Eunice Carreira | |
| Joscelyn Cockburn | Innovation Partners LLC |
| FSC Securities Corporation | |
| Janelle English | |
| Juan Chavez | J.P. Morgan Securities LLC |
| Sara Jankowski | Stifel, Nicolaus & Company, Incorporated |
| City Securities Corporation | |
| David Love | LaSalle St Securities, LLC |
| ICMA-RC Services, LLC | |
| James Marrero | American Portfolios Financial Services, Inc. |
| BCG Securities, Inc. | |
| Emma McAuley | Edward Jones |
| Marques Mcleon | NYLife Securities LLC |
| Jennifer Nelson | Edward Jones |
| Robert Ornelas | Northwestern Mutual Investment Services, LLC |
| Luis Castanon | J.P. Morgan Securities LLC |
| Michael Russo | Spartan Capital Securities, LLC |
| Craft Capital Management LLC | |
| Edgar Shanoyan | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Purshe Kaplan Sterling Investments | |
| Robert Thomas | IBN Financial Services, Inc. |
| Avantax Investment Services, Inc. | |
| James Turpin | USA Financial Services Corporation |
| United Planners’ Financial Services of America A Limited Partner |
According to FINRA Disciplinary actions for March 2025, 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 |
| Steven Blanchard | LPL Financial LLC |
| Raymond James Financial Services, Inc. | |
| Michael Fasciglione | Aegis Capital Corp. |
| National Securities Corporation | |
| Michael Magruder | Raymond James & Associates, Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Kyle Manning | Spartan Capital Securities, LLC |
| Southeast Investments, N.C., Inc. | |
| James Mariani | Aegis Capital Corp. |
| National Securities Corporation | |
| Kevin Reed | U.S. Bancorp Investments, Inc. |
| PNC Investments | |
| Mario Rivero Jr. | LPL Financial LLC |
| Wells Fargo Clearing Services, LLC | |
| John Schlagheck | Cape Securities Inc. |
| Intervest International Equities Corporation |
According to FINRA Disciplinary actions for February 2025, 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 |
| Robert Franden | Raymond James & Associates, Inc. |
| Morgan Stanley |
According to FINRA Disciplinary actions for January 2025, 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 |
| Sebastian Bongiovanni | Spartan Capital Securities, LLC |
| Newbridge Securities Corporation | |
| Luke Brooks | U.S. Bancorp Investments, Inc. |
According to FINRA Disciplinary actions for January 2025, 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 |
| Michael Barrows | M Stevens Securities, LLC |
| Kingswood Capital Partners, LLC | |
| Eric Ludovico | M Stevens Securities, LLC |
| Kingswood Capital Partners, LLC | |
| Edgar Olmeda | Maximum Financial Investment Group, Inc. |
| Avalon Partners, Inc. | |
| Michael Paesano | Morgan Stanley |
| UBS Financial Servies Inc. | |
| Stephen Pendergast | Wells Fargo Clearing Services, LLC |
| RBC Capital Markets, LLC | |
| Vincent Sharpe | Paulson Investment Company, LLC |
| PHX Financial, Inc. |
According to FINRA Disciplinary actions for January 2025, 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 |
| Iam Aguilar | Fidelity Brokerage Services LLC |
| Eunice Carreira | |
| Juan Garcia | J.P. Morgan Securities LLC |
| Wyman Sai | J.P. Morgan Securities LLC |
| Joseph Seidler | RBC Capital Markets, LLC |
| Wells Fargo Clearing Services Inc. | |
| James Turpin | USA Financial Securities Corporation |
| United Planners’ Financial Services of America A Limited Partner |
According to FINRA Disciplinary actions for December 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 |
| Akshita Bhatia | |
| Glenn Colangelo | American Independent Securities Group |
| The O.N. Equity Sales Company | |
| Peter Girgis | SW Financial |
| Worden Capital Management LLC | |
| Matthew Kagan | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Northwestern Mutual Investment Services, LLC | |
| Zayed Rodriguez | NYLife Securities LLC |
According to FINRA Disciplinary actions for December 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 |
| Yiu Yeung | Pacific Century Securities, LLC |
| Michael Banks | Morgan Stanley |
| Fidelity Brokerage Services LLC | |
| Joscelyn Cockburn | Innovation Partners LLC |
| FSC Securities Corporation | |
| Luis Jean-Bart | PFS Investments Inc. |
| Peter Lawrence | American Portfolios Financial Services, Inc. |
| Questar Capital Corporation | |
| Emma McAuley | Edward Jones |
| Marques Mcleon | NYLIfe Securities LLC |
| Jennifer Nelson | Edward Jones |
| Robert Ornelas | Northwestern Mutual Investment Services, LLC |
| Edgar Shanoyan | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Purshe Kaplan Sterling Investments | |
| Robert Thomas | IBN Financial Services, Inc. |
| Avantax Investment Services, Inc. |
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