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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for March 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
  Christian Evans   Morgan Stanley
  Highland Capital Funds Distributor, Inc.
  Mark Grenier   David Lerner Associates, Inc.
  Maxim Group LLC
  Harry Lum Jr.   Horace Mann Investors, Inc.
  Allstate Financial Services, LLC
  Dorinda Lumpkin   BBVA Securities Inc.
  Timothy Melvin   Horace Mann Investors, Inc.

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According to FINRA Disciplinary actions for March 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
  Jason Allen   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Carl Birkelbach   Birkelbach Investment Securities, Inc.

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According to FINRA Disciplinary actions for March 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
  Ryan Callahan   State Farm VP Management Corp
  James Carpenter II   LPL Financial LLC
  Edward Jones
  James Childress   LPL Financial LLC
  Householder Group Financial Advisors, LLC
  Justyn Euan   Wells Fargo Clearing Services, LLC
  Nayely Gamez   Wells Fargo Clearing Services, LLC
  Igor Kislitsa   PFS Investments Inc.
  Hector Mejia   ADP Broker-Dealer, Inc.
  Yonay Perez   Wells Fargo Clearing Services, LLC
  Jorge Pica   Suntrust Robinson Humphrey, Inc.
  Stephens Inc.
  Rodney Repko   Lincoln Financial Advisors Corporation
  Valic Financial Advisors, Inc.
  Michael Swenson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Piper Jaffray & Co.

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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

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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

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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

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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

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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

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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. LPL Financial discharged Couture on 6/17/2020 after discovering that he had: Changed identifying information, account balances and distributions in customer account statements Maintained and comingled customer funds Used an unapproved email addressJames 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 ›

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