A National Securities Arbitration & Investment Fraud Law Firm
We’ve reported on Yousuf Saljooki (CRD#: 5045123, aka Joe Saljooki, and Joseph Saljooki) on two previous occasions regarding his two suspensions by the State of Arkansas and subsequently by FINRA for many of the same infractions. Continue reading ›
According to FINRA Disciplinary actions for February 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 |
| Tracy Adams | Ameriprise Financial Services, LLC |
| IDS Life Insurance Company | |
| Ronald Bartsch | Union Capital Company |
| Liberty Partners Financial Services, LLC | |
| Lynn Cawthorne | Cambridge Investment Research, Inc. |
| Investment Professionals, Inc. | |
| Jorge Guzman | Pruco Securities, LLC |
| Nelson Polun | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Richard Ramos | Wells Fargo Clearing Services LLC |
| Curtis Smiley | Primex |
| Sandlapper Securities, LLC | |
| David Stateman | Allstate Financial Services, LLC |
| AXA Advisors, LLC | |
| Dwight Sulc | B.B. Graham & Company, Inc. |
| PFS Investments Inc. | |
| Alon Zak | Pruco Securities, LLC |
| MML Investors Services, LLC |
According to FINRA Disciplinary actions for February 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 |
| Spyridon Chandrinos | Millennium Advisors, LLC |
| Chelsea Flohr | J.P. Morgan Securities LLC |
| Jon Foster | Wells Fargo Clearing Services, LLC |
| Caleb Hutzler | LPL Financial LLC |
| Northwestern Mutual Investment Services, LLC | |
| Narongdej Jaroensabphayanont | Voya Financial Advisors, Inc. |
| Intersecurities, Inc. | |
| Aaron Pierett | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for January 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 |
| Jason Anderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| LPL Financial LLC | |
| Solomon Apprey | Pruco Securities, LLC |
| AXA Advisors, LLC | |
| Harry Lum, Jr. | Horace Mann Investors, Inc. |
| Allstate Financial Services, LLC | |
| Timothy Melvin | Horace Mann Investors, Inc. |
| Jeffrey Sandwell | LPL Financial LLC |
| Trilogy Financial Services | |
| Jon Scheier | Edward Jones |
According to FINRA Disciplinary actions for January 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 |
| Dane Brinkman | Kovack Securities Inc. |
| UBS Financial Services Inc. | |
| Jonah Engler | Global Arena Capital Corp |
| HFP Capital Markets LLC | |
| David Fleming, Jr. | Stifel, Nicolaus & Company, Incorporated |
| Sterne, Agee & Leach, Inc. | |
| Justin Harris | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Eric Roark | Ameriprise Financial Services, LLC |
| Oppenheimer & Co. Inc. | |
| Yousuf Saljooki | Worden Capital Management LLC |
| Solomon Whitney Financial | |
| Josef Schaible | Templum Markets LLC |
| Auto Aftermarket Securities, LLC | |
| David Sheppard | Meyers Associates, L.P. |
| Aegis Capital Corp. | |
| Paul Stanford | Santander Securities LLC |
| Ameriprise Financial Services, Inc. | |
| Gary Strange | Cambridge Investment Research, Inc. |
| William Joseph Capital Management LLC | |
| Robert Whittenburg | Ameriprise Financial Services, Inc. |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for January 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 |
| Casey Brougham | Nationwide Securities, LLC |
| Nationwide Securities, Inc. | |
| Derek Edwards | PFS Investments Inc. |
| Curt Giacobbe | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Young Ju Kim | |
| Kevin Lafollette | Nationwide Investment Services Corporation |
| Paul McGonigle | LPL Financial LLC |
| SII Investments, Inc. | |
| Naveed Mitha | Suntrust Robinson Humphrey, Inc. |
| Jose Montero | J.P. Morgan Securities LLC |
| Cleavon Tidball | T. Rowe Price Investment Services, Inc. |
| Transamerica Investors Securities Corporation |
James Couture (James Kenneth Couture CRD#: 4460284) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Worchester, MA. His previous employers included Lincoln Financial Securities Corporation (CRD#:3870), also of Worchester, MA, New England Securities (CRD#:615) of New York, NY, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. He has been in the industry since 2001. Continue reading ›
According to FINRA Disciplinary actions for December 2020, 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 |
| Jamie Bennett | Silber Bennett Financial, Inc. |
| Silver Portal Capital LLC | |
| Chelsea Flohr | J.P. Morgan Securities LLC |
| Jon Foster | Wells Fargo Clearing Services, LLC |
| Mark Grenier | David Lerner Associates, Inc. |
| Maxim Group LLC | |
| Dorinda Lumpkin | BBVA Securities Inc. |
| Jorge Pica | Suntrust Robinson Humphrey, Inc. |
| Stephens Inc. | |
| Aaron Pierett | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Wells Fargo Clearing Services, LLC | |
| Alexander Walker | Fidelity Brokerage Services LLC |
According to FINRA Disciplinary actions for December 2020, 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 |
| Katie Blando | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Thomas Marino | R.M. Stark & Co., Inc. |
| J.W. Cole Financial, Inc. | |
| Narinder Singh | Farmers Financial Solutions, LLC |
| ProEquities, Inc. |
According to FINRA Disciplinary actions for December 2020, 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 |
| Michael Albarella | HSBC Securities (USA) Inc. |
| People’s Securities, Inc. | |
| Dean Grosskreutz | Allstate Financial Services, LLC |
| Morgan Keegan & Company, Inc. |
Securities Arbitration Lawyers Blog