A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for August 2021, 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 |
| Omer Ali-Taha | BB&T Investment Services, Inc. |
| Citigroup Global Markets Inc. | |
| Katie Blando | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC |
According to FINRA Disciplinary actions for August 2021, 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 |
| Lorenzo Atkins | The Huntington Investment Company |
| Fifth Third Securities, Inc. | |
| Samantha Beasley | Wells Fargo Clearing Services, LLC |
| Cyntera Belser | J.P. Morgan Securities LLC |
| Annie Bohossian | J.P. Morgan Securities LLC |
| Tiffany Burgess | |
| Jinnie Chean | Allstate Financial Services, LLC |
| Lawrence Ehren | Landolt Securities, Inc. |
| Oberweis Securities, Inc. | |
| Michael Goonan | Equitable Advisors, LLC |
| Park Avenue Securities LLC | |
| Courtney Mahdak | Charles Schwab & Co., Inc. |
| John Margain | State Farm VP Management Corp. |
| Janie Royal | Key Investment Services LLC |
| Joseph Valenti | Newbridge Securities Corporation |
| Reid & Rudiger LLC |
According to FINRA Disciplinary actions for August 2021, 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 |
| Matthew Berman | |
| Thomas Bonik | NTB Financial Corporation |
| Linsco/Private Ledger Corp. | |
| James Clements | Allstate Financial Services, LLC |
| State Farm VP Management Corp. | |
| Daniel Della Rosa | Corinthian Partners, LLC |
| Paulson Investment Company LLC | |
| Morgan Engbrecht | Horace Mann Investors, Inc. |
| Micah Judy | W&S Brokerage Services, Inc. |
| Lionel Scott | Arive Capital Markets |
| Cape Securities, Inc. | |
| Ricardo Uliambre | UBS Financial Services Inc. |
| Morgan Stanley Smith Barney LLC | |
| Paul Vizanko | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated |
According to FINRA Disciplinary actions for July 2021, 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 |
| John Barrett | Emerson Equity LLC |
| Lincoln Financial Advisors | |
| Michael Bramlett | County Capital Management Company |
| Christopher Fisher | PFS Investments Inc. |
| Charles Schwab & Co., Inc. | |
| Berhane Kassahun | AXA Advisors, LLC |
| MSI Financial Services, Inc. | |
| Charles Lopez | Bank of America, N.A. |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Kajie McMullen | J.P. Morgan Securities LLC |
| Christy McWilliams | Jackson National Life Distributors LLC |
| Kevin Nevin | Demsey Lord Smith, LLC |
| Sandlapper Securities, LLC | |
| Antoine Rogers | J.P. Morgan Securities LLC |
| Alfredo Vazquez | Cuso Financial Services, L.P. |
| BBVA Securities Inc. | |
| David Villarreal III | U.S. Bancorp Investments, Inc. |
| Morgan Stanley | |
| Jonathan Ward | State Farm VP Management Corp. |
According to FINRA Disciplinary actions for July 2021, 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 |
| Trent Drake | Cambridge Investment Research, Inc. |
| Pacer Financial, Inc. | |
| Adam Feierstein | ProEquities, Inc. |
| Woodbury Financial Services, Inc. | |
| Eileen Kenny | LPL Financial LLC |
| Private Advisor Group, LLC | |
| Norma Kuklis | |
| William Kursim | Fidelity Brokerage Services LLC |
| National Financial Services LLC | |
| Joseph Switzer Sr. | Fidelity Brokerage Services LLC |
| Tim Viohl | U.S. Bancorp Investments, Inc. |
| LPL Financial LLC |
According to FINRA Disciplinary actions for July 2021, 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 |
| David Allen | Avenir Financial Group |
| GunnAllen Financial, Inc. | |
| Jameile Cawley | Horace Mann Investors, Inc. |
| LPL Financial LLC | |
| Bradley Gardner | LPL Financial LLC |
| Golden State Wealth Management, LLC | |
| Brian O’Neill | Fisher Investments |
| ProFunds Distributors, Inc. |
According to FINRA Disciplinary actions for June 2021, 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 |
| Lorenzo Atkins | The Huntington Investment Company |
| Fifth Third Securities, Inc. | |
| Cyntera Belser | J.P. Morgan Securities LLC |
| Amanda Berry | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Tiffany Burgess | |
| James Carpenter II | Simplified Wealth Management |
| LPL Financial LLC | |
| Jinnie Chean | Allstate Financial Services, LLC |
| Paul Furusho | AWA Capital, Inc |
| Comprehensive Asset Management & Servicing, Inc. | |
| Courtney Mahdak | Charles Schwab & Co., Inc. |
| Marco Rivera | J.P. Morgan Securities LLC |
| Janie Royal | Key Investment Services LLC |
According to FINRA Disciplinary actions for June 2021, 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 |
| Gina Adly | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Patrick Carberry | AXA Advisors, LLC |
| NYLife Securities LLC | |
| Roy Cederfranco | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Michael Gopie | AXA Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Cary Kievman | Ameriprise Financial Services, Inc. |
| Morgan Stanley Smith Barney | |
| Gaetano Magarelli | Newbridge Securities Corp |
| Ameriprise Financial Services, Inc. | |
| Margarita Medina | LPL Financial LLC |
| Wells Fargo Advisors, LLC |
According to FINRA Disciplinary actions for June 2021, 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 |
| Nathaniel Eklund | J.P. Morgan Securities LLC |
| Geneos Wealth Management, Inc. | |
| Idean Esfahani | Wells Fargo Clearing Services, LLC |
| Justyn Euan | Wells Fargo Clearing Services, LLC |
| Ngonidzashe Parirenyatwa | Wells Fargo Clearing Services, LLC |
| Planco Financial Services, LLC | |
| Laquita Antionette Pettis | Wells Fargo Clearing Services, LLC |
| Rodney Repko | Lincoln Financial Advisors Corporation |
| Valic Financial Advisors, Inc. | |
| George Stills, Jr. | Securian Financial Services, Inc. |
| AXA Advisors, LLC |
Dustin Shafer (Dustin Paul Shafer CRD# 34198962) is a former registered broker and investment advisor who was registered most recently with Newbridge Securities Corporation from 2019-2020, but spent the previous decade of his career with Money Concepts Capital Corp in Springfield, Illinois. Shafer worked in the brokerage industry since 2000. Continue reading ›
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