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Articles Posted in FINRA Disciplinary Actions

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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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According to FINRA Disciplinary actions for March 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
Gabriela Alfaro Charles Schwab & Co., Inc.
Michael Capolongo Network 1 Financial Securities Inc.
Worden Capital Management LLC
Stalin Cruz SW Financial
Windsor Street Capital, L.P.
Michael Fasciglione Aegis Capital Corp.
National Securities Corporation
Isaiah Frection NYLife Securities LLC
Richard Goldston Edward Jones
Johnathan Hagood Wells Fargo Clearings Services, LLC
Adriano Schultz J.P. Morgan Securities LLC
Wells Fargo Clearing Services, LLC
Brittny Stagnitto

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According to FINRA Disciplinary actions for March 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
Timothy Breslin B. Riley Wealth Management
Raymond James & Associates, Inc.
Robin Johnson aka Robin Runco CFD Investments, Inc.
J.W. Cole Financial, Inc.
Jason Kurtz U.S. Bancorp Investments, Inc.
Edward Jones
Leslie Markus Jr. Lincoln Investment
Ameriprise Financial Services, Inc.
David Morris Stifel, Nicolaus & Company
UBS Financial Services Inc.
Duncan Sandlin Waddell & Reed
AXA Advisors, LLC

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John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo, CA, and WMA Securities, Inc. (CRD# 32625) of Duluth, GA.  He has been in the industry since 1986. Northwestern allowed Kersey to resign following allegations that he accepted money from a customer intended for investment. Instead, Kersey deposited the money into a non-firm account, and fabricated account statements that overstated the value of the customer’s account with Northwestern.  He was under an internal review at the time. Of his eight disclosures, five are by Kersey’s Northwestern clients filed after his discharge from the firm.John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo, CA, and WMA Securities, Inc. (CRD# 32625) of Duluth, GA.  He has been in the industry since 1986. Continue reading ›

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According to FINRA Disciplinary actions for January 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
  Scott Reed   First Financial Equity Corporation
  Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for January 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
  Jack McBride   Newbridge Securities Corporation
  B. Riley Wealth Management
  Richard Webb   Park Avenue Securities LLC
  William Williford   Morgan Stanley

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According to FINRA Disciplinary actions for January 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
  Gabriela Alfaro   Charles Schwab &Co., Inc.
  Vinessa Christian   UBS Financial Services Inc.
  RBC Dain Raucher Inc.
  Denzel Coleman   J.P. Morgan Securities LLC
  Wells Fargo Clearing Services, LLC
  Stalin Cruz   SW Financial
  Windsor Street Capital, L.P.
  Richard Goldston   Edwared Jones

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