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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for March 2023, 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
  Chrisopher Arnold   USCA Securities LLC
  Salient Capital L.P.
  Blaine Hamlett   Equitable Advisors, LLC
  Adrian London   J.P. Morgan Securities LLC
  E*Trade Securities LLC
  Yvonne Nguyen   NYLife Securities LLC
  Robert Rich   Wells Fargo Advisors Financial Network, LLC
  Wachovia Securities, LLC
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenneth Wade   Cetera Advisor Networks LLC
  PFS Investments Inc.
  Khalil Watts   J.P. Morgan Securities LLC
  Willliam Williford   Morgan Stanley

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According to FINRA Disciplinary actions for March 2023, 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
  John Carroll   Vanderbilt Securities, LLC
  National Securities Corporation
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for March 2023, 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
  Kenwyn Belkot   LPL Financial LLC
  FSC Securities Corporation
  Robert Calamunci Sr.   Xnergy Financial LLC
  NPPEX, LLC
  Sevag Haddadian   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Stefanie Hurkala   Wells Fargo Clearing Services, LLC
  First Investors Corporation
  Pamelia Owensby   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ikenna Ubaka

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According to FINRA Disciplinary actions for February 2023, 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
  Eugene Bartley III   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Carl Birkelbach   Birkelbach Investment Securities, Inc.
  Mark Boucher   Strategic Wealth Advisor Group Services Inc.
  Raymond James Financial Services
  David Weigel   PBC Capital Markets, LLC
  Morgan Stanley
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for February 2023, 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
  Albert Aviles   Reid & Rudiger LLC
  Spartan Capital Securities, LLC
  Ruth Chambers   Raymond James & Associates, Inc.
  Mutual Trusdt Co. of America Securities
  Seymour Cohen   Wilmington Capital Securities, LLC
  Clark Dodge & Co., Inc.
  John Fabiano   LPL Financial LLC
  Wealth Enhancement Advisory Services
  Samuel Heavrin   J.P. Morgan Securities LLC
  Austin Lazarus   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  J.P. Morgan Securities LLVC
  Jason Long   State Farm VP Management Corp.
  Cory Tinsley   Farmers Financial Solutions, LLC
  AXA Advisors, LLC

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According to FINRA Disciplinary actions for February 2023, 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
  William Casper   J.P. Morgan Securities LLC
  Kevin Chiu   J.P. Morgan Securities LLC
  Albert Foronda   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Edward McMahon   Alexander Capital, L.P.
  J.P Turner & Company, LLC
  Mark Miranda   Spartan Capital Securities, LLVC
  Network 1 Financial Securities Inc
  Patrick Thayer   LPL Financial LLC
  Parkland Securities, LLC
  Brian Wurdemann   RBC Capital Markets, LLC
  UBS Financial Services Inc.

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According to FINRA Disciplinary actions for December 2022, 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
  Christ Baltas   Worden Capital Management LLC
  Wilmington Capital Securities, LLC
  Matthew Beaver   Grit Wealth Management, LLC
  Ameriprise Financial Services, Inc.
  Seymour Cohen   Wilmington Capital Securities, LLC
  Clark Dodge & Co., Inc.
  James Kirschner   Cetera Advisors LLC
  Ameriprise Financial Services, Inc.
  Justin Iowe   Broadview International LLC
  Keith Wakefield   IFS Securities
  IFS Capital Markets, LLC
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for December 2022, 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
  Jay Dougall   Principal Securities, Inc.
  Waddell & Reed
  Beth Landwehr   J.P. Morgan Securities LLC
  Ameriprise Financial Services, Inc.
  Jamie Lemon
  Linda Leong   Valic Financial Advisors, Inc.
  National Planning Corporation
  Michael Richie   Fidelity Brokerage Services LLC
  Edward Von Der Schmidt   Morgan Stanley & Co. LLC
  RBC Capital Markets, LLC
  Cedric Wade   LPL Financial LLC
  National Planning Corporation

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According to FINRA Disciplinary actions for December 2022, 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
  Albert Aviles   Reid & Rudiger LLC
  Spartan Capital Securities, LLC
  Ruth Chambers   Raymond James & Associates, Inc.
  Mutual Trust Co. of America Securities
  Seymour Cohen   Wilmington Capital Securities, LLC
  Clark Dodge & Co., Inc.
  Anthony DiLullo   LPL Financial LLC
  ING Financial Partners, Inc.
  John Fabiano   LPL Financial LLC
  JD Financial Services Inc.
  Samuel Heavrin   J.P. Morgan Securities LLC
  Austin Lazarus   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  J.P. Morgan Secvurities LLC
  Jason Long   State Farm VP Management Corp.
  Pamelia Owensby   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated

Continue reading ›

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According to FINRA Disciplinary actions for November 2022, 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
  Michael Botrous
  Jaylon Briggs
  Johnnie Brown   PFS Investments Inc.
  Courtney Donella-Sheley   Voya Financial Advisors, Inc.
  ING Financial Advisers, LLC
  Austin Dutton Jr.   American Trust Investment Services, Inc.
  Primex
  Ciara Haro
  Monica Laguna   J.P. Morgan Securities LLC
  Yasmine Mercado
  Cory Tinsley   Farmers Financial Solutions, LLC
  AXA Advisors, LLC
  Khalil Watts   J.P. Morgan Securities LLC

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