A National Securities Arbitration & Investment Fraud Law Firm
Omar Hammad-Randolph (Omar Waleed Hammad-Randolph CRD# 6087721) is a previously registered broker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) in their Boca Raton, Florida office. FINRA suspended Omar Hammad-Randolph for borrowing $150,000 from a customer without disclosing the loan or obtaining approval from the firm. Continue reading ›
According to FINRA Disciplinary actions for September 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 |
| Madeline Colon | |
| Blair Olsen | Lincoln Investment |
| Legend Equities Corporation | |
| Jennifer Pendley | J.P. Morgan Securities LLC |
| Scott Snelling | Kestra Investment Services, LLC |
| National Planning Corporation |
According to FINRA Disciplinary actions for September 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 |
| William Baris | Network 1 Financial Securities Inc. |
| Joseph Stone Capital LLC | |
| Todd Paynter | Cambridge Investment Research, Inc. |
| Ameriprise Financial Services, Inc. | |
| Nelson Polun | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Adam Schachter | LPL Financial LLC |
| Wells Fargo Clearing Services, LLC | |
| Paul Steffany | Moors & Cabot, Inc. |
| Raymond James & Associates, Inc. | |
| Peter Walsworth | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc |
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 |
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 ›
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. |
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 |
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 |
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. |
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. |
Securities Arbitration Lawyers Blog