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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. 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. |
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 ›
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 ›
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 ›
Felix Chu (Felix S Chu CRD# 2427593) is a barred broker last registered with NYLife Securities in Pleasant Hill, California. FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information.
Chu’s publicly-available FINRA BrokerCheck report shows that he has been registered with NYLife Securities his whole career, from 1994 until his barring in 2019. Continue reading ›
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