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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for November 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
  Carl Buhr   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Neil Fineman   First Allied Securities, Inc.
  Sagepoint Financial, Inc.
  Donald Heitz   LPL Financial LLC
  First Command Fianncial Planning, Inc.
  Tim Leissner   Goldman, Sachs & Co.
  Evan Schottenstein   J.P. Morgan Securities LLC
  Morgan Stanley
  Bruce Smith   The Sports Advisory Group, LLC
  UBS Financial Services Inc.
  David Weigel   Weigel Fiduciary Aset Management LLC
   RBC Capital Markets, LLC

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According to FINRA Disciplinary actions for November 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
  Chad Barancyk   Great Point Capital LLC
  First Allied Securities, Inc.
  Aren Blackwood
  Richard Carman   Ameriprise Financial Services, LLC
  LPL Financial LLC
  John Molskness   Valic Financial Advisors, Inc.
  New England Securities
  Thomas Pfeiffer   MML Investors Services, LLC
  Chelsea Financial Services
  Emily Pich   Key Investment Services LLC
  Firasat Siddiqui   Ameriprise Financial Services, LLC
  IDS Life Insurance Company
  Cari Spicer   Cavu Securities LLC
  Triton Pacific Securities, LLC

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According to FINRA Disciplinary actions for October 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
  Darien Bonney   MML Investors Services, LLC
  NYLife Securities Inc.
  Jimmy Cheng   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Eddy Chou   Inspire Advisors, LLC
  Ameriprise Financial Services, LLC
  Kara Gagnon   Global Atlantic Distributors, LLC
  MetLife Investors Distribution Company
  Johana Jimenez
  Derick Stickland   Allstate Financial Services, LLC

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According to FINRA Disciplinary actions for October 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
  Todd Kalish   Park Edge Advisors, LLC
  McDonald Partners LLC
  Nicolas Lumermann   Morgan Stanley
  Credit Suisse Securities (USA) LLC
  Jeff McElroy   BOK Financial Securities, Inc.
  LPL Financial LLC
  Kevin NcNeil   SW Financial
  Joseph Gunnar & Co., LLC
  Alex Salcedo   Scottrade, Inc.
  Wells Fargo Clearing Services, LLC
  Francisco Valenzuela   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Incorporated

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According to FINRA Disciplinary actions for October 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
  Tony Bell   SCF Securities, Inc.
  Liberty Partners Financial Services, LLC
  Matthew Black   J.P. Morgan Securities LLC
  Jay Dougall   Principal Securities, Inc.
  Waddell & Reed
  Edgar Garcia   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Roger Hickman   State Farm VP Management Corp.
  Jamie Lemon
  Linda Leong   Valic Financial Advisors, Inc.
  National Planning Corporation
  Donald Nelson   Wedbush Securities Inc.
  First Wall Street Corp.
  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 September 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
  Chad Barancyk   Great Point Capital LLC
  First Allied Securities, Inc.
  Aren Blackwood
  Richard Carman   Ameriprise Financial Services, LLC
  LPL Financial LLC
  Austin Dutton Jr.   American Trust Investments Services, Inc.
  Primex
  Beth Landwehr   J.P. Morgan Securities LLC
  Ameriprise Financial Services, Inc.
  Ebony Parks   LPL Financial LLC
  Wells Fargo Clearing Services, Inc.
  Firasat Siddiqui   Ameriprise Financial Services, LLC
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated

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According to FINRA Disciplinary actions for September 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
  Dwayne Bullen   Primary Capital LLC
  Joseph Stone Capital, LLC
  James Flynn   IFS Securities
  Voya Financial Advisors, Inc.
  David Melilli   Cambridge Investment Research, Inc.
  SagePoint Financial, Inc.
  Joseph Pratt   Stifel Nicolaus & Co Inc
  Wells Fargo Advisors LLC
  Joseph Valdini   Aegis Capital Corp.
  Worden Capital Management LLC
  Steven Wyatt   Morgan Stanley Smith Barney
  Morgan Stanley & Co, Incorporated

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According to FINRA Disciplinary actions for September 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
  Robin Auguste   J.P. Morgan Securities LLC
  Michael Beebe   LPL Financial LLC
  Nationwide Securities, LLC
  LeRoy Cantley
  Salvatore Carollo   Allstate Financial Services, LLC
  Kevin Garasky   Pruco Securities, LLC
  Bankers Life Securities, Inc.
  Dustin Goss   Park Avenue Securities LLC
  Edward Jones
  Yang Liang   NYLIFE Securities LLC
  James Merrill   Independent Financial Group, LLC
  LPL Financial Corporation
  William Nicoloff Jr.   Boustead Securities, LLC
  StoneCreek Capital Partners
  Darrell Roberts   Spire Securities, LLC
  Western International Securities, Inc.
  Isaac Stewart   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Gregory Williams   Presidential Brokerage, Inc.
  Forta Financial Group, Inc.

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Boca Raton-based National Securities Corporation (NSC) has announced that it is closing its doors after 75 years. The recent announcement came after the firm filed termination papers with FINRA. The company’s representatives and advisors are now part of the company that began buying National Securities, B. Riley Wealth Management. Although National Securities is closing, it appears to be a merger with B. Riley. The company bought a large stake in the parent company, National Holdings Corporation in 2018. In 2021, B. Riley purchased the remaining shares. The resulting merger has 900 representatives and $29 billion in client assets. FINRA Sanctions National Securities Corporation On June 23, 2022, FINRA issued sanctions against National Securities Corporation totaling $9 million that includes: Disgorgement of $4.77 million Restitution of $625,000 to customers who purchased private placementsBoca Raton-based National Securities Corporation (NSC) has announced that it is closing its doors after 75 years. The recent announcement came after the firm filed termination papers with FINRA. The company’s representatives and advisors are now part of the company that began buying National Securities, B. Riley Wealth Management. Continue reading ›

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According to FINRA Disciplinary actions for Aug 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
  Andrew Edenbaum   Allliance Global Partners
  National Securities Corporation
  Keith Esp   Vanderbilt Securities, LLC
  LPL Financial LLC
  Karl Foust Jr.   H.D. Vest Investment Services
  Gunnallen Financial, Inc.
  Robert Guidicipietro   Alexander Capital, L.P.
  Arive Capital Markets
  Robert Haas   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  Christopher Johnson   Morgan Stanley
  UBS Financial Services Inc.
  Jeffrey Nunez   Chicago Investment Group, LLC
  Providential Securities, Inc.
  Izhar Shefer   APW Capital, Inc.
  Morgan Stanley
  Gretchen Wallace   Oppenheimer & Co. Inc.
  Morgan Stanley

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