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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for September 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
  William Ellis   Charles Schwab & Co., Inc.
  Fidelity Brokerage Services LLC
  John Evans   Wells Fargo Clearing Services, LLC
  Foreside Fund Services, LLC
  Dia Howell   U.S. Bancorp Investments, Inc.
  May Kim   Pruco Securities, LLC
  Evan Nadelman   Aegis Capital Corp.
  Ninety Holdings Group LLC
  Blair Olsen   Lincoln Investment
  Legend Equities Corporation
  Gyasi Richard   Wells Fargo Clearing Services LLC
  Philip Scherello   Traderfield Securities Inc.
  Velocity Capital, LLC

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Bryant Caveness (Bryant Edwin Caveness CRD: #4033740) is a former registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD#:6363) of Kingsport, TN. His previous employers include Ameriprise Advisor Services, Inc. (CRD#:5979), also of Kingsport, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. He has been in the industry since 1999. Ameriprise Financial discharged Caveness on 6/26/2020, indicating that, “the registered representative was terminated for company policy violations related to personal trade, ethics, and solicitation of exchange traded products.” FINRA began its investigation that included allegations of “potential receipt of checks from senior customers.” Bryant Caveness initially cooperated with the investigation, but changed his mind in July of 2020. In an email from his legal counsel on July 9, 2020, to FINRA staff, Caveness indicated that he had received FINRA’s request for documentation, but would not be supplying the requested information or documentation at any time.Bryant Caveness (Bryant Edwin Caveness CRD: #4033740) is a former registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD#:6363) of Kingsport, TN. His previous employers include Ameriprise Advisor Services, Inc. (CRD#:5979), also of Kingsport, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. He has been in the industry since 1999. Continue reading ›

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According to FINRA Disciplinary actions for October 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
  Conrad Coggeshall   Packerland Brokerage Services, Inc.
  USA Financial Securities Corporation
  Roderick Day   Cabot Lodge Securities LLC
  IFS Securities
  Marvin Egorin   Wedbush Securities Inc.
  Wells Fargo Clearing Services, LLC
  Frank Grant IV
  Andrew Slocum   Charles Schwab & Co., Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Junior Tonkam   PFS Investments Inc.

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According to FINRA Disciplinary actions for October 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
  Jeffrey Allen   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors
  Christopher Canorro   TD Ameritrade, Inc.
  Scottrade, Inc.
  Terrence Diehl   LPL Financial LLC
  Private Advisor Group
  Alex Herrera   UBS Financial Services Inc.
  HSBC Securities (USA) Inc.
  Blake Kiernan   Four Points Capital Partners LLC
  First Midwest Securities, Inc.
  Deependra Logani   Morgan Stanley Smith Barney LLC
  Santander Securities LLC
  Anthony Mastroianni Jr.   Meyers Associates, L.P.
  Alexander Capital, L.P.
  Frank Mebane III   LPL Financial LLC
  Wells Fargo Clearing Services, LLC
  Denis O’Leary   Dinosaur Financial Group, LLC
  Morgan Stanley
  John Riccardi Jr.   Joseph Stone Capital LLC
  Windsor Street Capital, LP
  Scott Whittemore   Wells Fargo Clearing Services, LLC
  Morgan Stanley

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According to FINRA Disciplinary actions for October 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
  Michael Albarella   HSBC Securities (USA) Inc.
  People’s Securities, Inc.
  Curt Giacobbe   MML Investors Services, LLC
  Eagle Strategies LLC
  Dean Grosskreutz   Allstate Financial Services, LLC
  Morgan Keegan & Company, 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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According to FINRA Disciplinary actions for August 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
  Ignacio Del Campo   Epic Capital Securities
  Insigneo Securities, LLC
  Marvin Egorin   Wedbush Securities Inc.
  Wells Fargo Clearing Services, LLC
  Frank Grant IV
  Stefano Listella   J.P. Morgan Securities LLC
  Great Point Capital LLC
  Jonathan Malone   Wells Fargo Clearing Services, LLC
  Brill Securities, Inc.
  Evan Nadelman   Aegis Capital Corp.
  Forefront Capital Markets LLC
  Jon Scheier   Edward Jones
  Andrew Slocum   Charles Schwab & Co. Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Elizabeth Sollars   Allstate Financial Services, LLC
  Junior Tonkam   PFS Investments Inc.
  Ricardo Turlan   UBS Financial Services Inc.
  BBVA Securities Inc.

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According to FINRA Disciplinary actions for August 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
  Cynthia Barrera   Morgan Stanley Smith Barney
  Morgan Stanley & Co. Incorporated
  David Braunlich   PTR, Inc.
  Benjamin & Jerold Brokerage I, LLC
  Richard Coleman   SW Financial
  Richard James & Associates, Inc.
  Cindy Fuzie   Morgan Stanley
  MML Investors Services, LLC
  Michael Garris   Wells Fargo Clearing Services, LLC
  Morgan Stanley Smith Barney
  Rajesh Gupta   Morgan Stanley Smith Barney
  JP Morgan Securities LLC
  James McEnerney, Jr.   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scott McVicker   Market Wise Securities, inc.
  Transamerica financial Resources, Inc.
  Daniel Motherway   National Securities Corporation
  UBS Financial Services, Inc.
  Jaime Rivera   First Southern, LLC
  Herbert J. Sims & Co. Inc.

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James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. Before working for Cetera Advisors LLC (CRD# 10299) starting in 2012, McKinney was previously registered with Securian Financial Services, Inc. (CRD# 15296). He had been in the industry since 1991.James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. Continue reading ›

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James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation. Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020.James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation.

Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020. Continue reading ›

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Steven Rodemer is a barred broker last registered with Stifel, Nicholas & Company, Incorporated in Pueblo, Colorado. Rodemer’s record shows that he was barred in all capacities from associating with a FINRA member firm for refusing to cooperate with a FINRA investigation. In January, 2020, Rodemer was discharged from Stifel, Nicholas over an allegation that he made an unauthorized withdrawal from a client’ account.Steven Rodemer is a barred broker last registered with Stifel, Nicholas & Company, Incorporated in Pueblo, Colorado. Rodemer’s record shows that he was barred in all capacities from associating with a FINRA member firm for refusing to cooperate with a FINRA investigation. In January, 2020, Rodemer was discharged from Stifel, Nicholas over an allegation that he made an unauthorized withdrawal from a client’ account. Continue reading ›

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