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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for June 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
  Kyleigh Haynes   Northwestern Mutual Investment Services, LLC
  Grant Hebeisen   U.S. Bancorp Investments, Inc.
  Ameriprise Financial Services, Inc.
  Carl Ippolito   Pruco Securities, LLC
  Eagleview Securities, Inc.
  Jaime Quintero   American Independent Securities Goup, LLC
  AFA Financial Group, LLC
  J-waun Smiley   Morgan Stanley
  Charles Schwab & Co., Inc.
  John Sommo   UBS Financial Services Inc.
  Wells Fargo Advisors, LLC
  Albert Tejada   Northwestern Mutual Investment Services, LLC

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According to FINRA Disciplinary actions for May 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
  Kevin Harms   Chelsea Financial Services
  Salomon Whitney Financial
  David Morris   Stifel, Nicolaus & Company, Incorporated
  UBS Financial Services Inc.
  Aleksandr Osaulenko   First Standard Financial Company LLC
  Alexander Capital, LP
  Yousuf Saljooki   Worden Capital Management LLC
  Salomon Whitney Financial

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Terms of a recent letter of Acceptance, Waiver, and Consent (AWC) that Aegis Capital Corp. submitted to FINRA require the New York-based broker-dealer to repay customers for alleged rule violations related to churning or excessive trading in customer accounts. Aegis was also ordered to pay monetary sanctions, and the AWC settled the claims, and Aegis does not admit or deny FINRA’s findings.  The AWC states that restitution is to be paid to certain customers “in the total amount of $1,692,256.44.”Terms of a recent letter of Acceptance, Waiver, and Consent (AWC) that Aegis Capital Corp. submitted to FINRA require the New York-based broker-dealer to repay customers for alleged rule violations related to churning or excessive trading in customer accounts.

Aegis was also ordered to pay monetary sanctions, and the AWC settled the claims, and Aegis does not admit or deny FINRA’s findings. Continue reading ›

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According to FINRA Disciplinary actions for April 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
  Mamdoh Abas   Cetera Advisor Networks LLC
  ProEquities, Inc.
  John Agostino   LPL Financial LLC
  Wells Fargo Advisors LLC
  Adam Schachter   PM Wealth Management LLC
  LPL Financial LLC

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According to FINRA Disciplinary actions for April 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
  Antonio Bestard   Edward Jones
  Morgan Stanley
  Kevin Burckhard   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc
  Darryl Cohen   Morgan Stanley
  Wells Fargo Advisors, LLC
  Odalis Duran   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Thomas Hagan   Morgan Stanley
  Wells Fargo Advisors, LLC
  Forrest Jones   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fortune Financial Services, Inc.
  Evan Jordan   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Bryan Richey   Eagle Strategies LLC
  NYLife Securities LLC
  Ebony Staples
  Jordan Whitacre   Arkadios Capital
  Triad Advisors LLC

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According to FINRA Disciplinary actions for April 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
  Kyleigh Haynes   Northwestern Mutual Investment Services, LLC
  Grant Hebeisen   U.S. Bancorp Investments, Inc.
  Ameriprise Financial Services, Inc.
  Carl Ippolito   Pruco Securities, LLC
  Eagleview Securities, Inc.
  Jaime Quintero   American Independent Securities Group, LLC
  AFA Financial Group, LLC
  J-waun Smiley   Morgan Stanley
  Charles Schwab & Co., Inc.
  Albert Tejada   Northwestern Mutual Investment Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for March 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
  Kameise Bickham
  John Boatright   Newbridge Securities Corporation
  Summit Brokerage Services, Inc.
  Keri Fazio   MML Investors Services, LLC
  Austin Fox   Cetera Investment Services LLC
  Corecap Investments, Inc.
  Melissa Gilcrease   Allstate Financial Services, LLC
  Bethany Hewett   Fidelity Brokerage Services LLC
  Ronald Molo   Edward Jones
  Marcus Moon   NYLife Securities LLC
  Robert Paterson   Truist Investment Services, Inc.
  BB&T Securities, LLC
  Lisa Robinson   J.P. Morgan Securities LLC
  Nathaniel Robinson   J.P. Morgan Securities LLC
  Herbert Weith IV   Equitable Advisors, LLC
  Wells Fargo Clearing Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for March 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
  Maria Acevedo   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alicia Chester   BBVA Securities Inc.
  Anthony DiDonna   Equitable Advisors, LLC
  David Hixon   Morgan Stanley
  ProEquities, Inc.
  James Kent Jr.   Emerson Equity LLC
  Newport Coast Securities, Inc.
  Scott Levine   Ascendiant Capital Markets, LLC
  BMA Securities
  Mario Martinez   Mutual of Omaha Investors Services, Inc.
  AIG Capital Services, Inc.
  John Sommo   UBS Financial Services Inc.
  Wells Fargo Advisors, LLC
  Stephen Wenske   Edward Jones

Continue reading ›

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According to FINRA Disciplinary actions for March 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
  Joseph Likens   LPL Financial LLC
  Cornerstone Wealth Management, LLC
  Guy Newman   GVC Capital LLC
  Bathgate Capital Partners LLC
  John Santariello   Arive Capital Markets
  Cape Securities Inc.
  Jeanette Stofleth   Cetera Investment Services LLC
  Morgan Stanley

Continue reading ›

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