FINRA Disciplinary Actions

FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award

November 26, 2019 | Silver Law Group

According to FINRA Disciplinary actions for October 2019, 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
Clay, Nathaniel	Laidlaw & Company (UK) LTD
Clay, Nathaniel	National Securities Corp
Gennity, William	First Standard Financial Company
Gennity, William	Alexander Capital
Germano, Anthony	Wells Fargo Advisors Financial Network
Germano, Anthony	UBS Financial Services
Lokits, Brandon	Wells Fargo Clearing Services
Lokits, Brandon	Edward Jones
Mesaros, Shawn	Morgan Stanley Smith Barney
Mesaros, Shawn	Citigroup Global Markets Inc
Reynolds, John Jr.	Morgan Stanley
Reynolds, John Jr.	Merrill Lynch, Pierce, Fenner & Smith Inc
Shotz, Richard	Wells Fargo Clearing Services
Shotz, Richard	Morgan Stanley
Vaccaro, Anthony Jr.	Raymond James & Assoc
	Southwest Securities

FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

November 26, 2019 | Silver Law Group

According to FINRA Disciplinary actions for October 2019, 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:

NAME	FORMER EMPLOYERS
Acca, Lisa	Arive Capital Markets
Acca, Lisa	Global Arena Capital Partners
Bailey, Michael	PFS Investments
Bailey, Michael	Primerica Financial Services
Bartley, Jevon	Merrill Lynch, Pierce, Fenner & Smith
Bartley, Jevon	Bank of America
Bisch, Sara	Santander Securities
Bisch, Sara	Edward Jones
Shanks, Anita
Gonzales, Edward
Hegarty, Adrian	JP Morgan Securities
Hegarty, Adrian	Citigroup Global Markets
Kraft, David	Morgan Stanley
Kraft, David	Wells Fargo Advisors
La Gala, Anthony
Lundstrom, Jeffrey	Signator Investors
Lundstrom, Jeffrey	Transamerica Financial Advisors
Madril, Michael	Wells Fargo Clearing Services
Mazza, Vincent	National Securities Corp
Mazza, Vincent	Kovak Securities
McClellan, Richard	LPL Financial
McClellan, Richard	MML Investors Services
Murano, Marc	JP Turner & Company
Muraya, Benson
Nurrain, Merle
Olsen, Blair	Lincoln Investment
Olsen, Blair	Legend Equitities Corp
Sandhu, Angad
Scarfone, Bryce	HSBC Securities (USA) Inc
Sperring, Donald Jr.	AXA Advisors LLC
Sperring, Donald Jr.	The Equitable Lie Assurance Society of the United States
Su, Zachary	JP Morgan Securities
Su, Zachary	World Financial Group
Uwechue, Anthony	JP Morgan Securities
Uwechue, Anthony	Chase Investment Serivces
Wright, Tiana	Northwestern Mutual Investment Services

FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules

November 26, 2019 | Silver Law Group

According to FINRA Disciplinary actions for October 2019, 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
Bender, Charles	Suntrust Investment Services, Inc
Bender, Charles	JP Morgan Securities
Bingham, Daniel	Essex Securities
Bingham, Daniel	Investors Capital Corp
Devaney, Patrick	Financial West Group
Devaney, Patrick	American P3 Capital
Diehlman, Kurt	Investacorp, Inc
Diehlman, Kurt	Schneider Securities
Dunbarm Clinton	Union Capital Company
Dunbarm Clinton	IFS Securities
Frank, Charles	NY Life Securities
Frank, Charles	MWA Sinancial Services
Gallacher, David	LPL Financial
Gallacher, David	AG Edwards & Sons
Goebel, Kyle
Gonzalez, Fernando	PNC Investments
Gonzalez, Fernando	Merrill Lunch, Pierce, Fenner & Smith Inc
Gruenberg, Myron	Quest Capital Strategies
Harris, Adrianna	Charles Schwab
Hose, Audrey	UBS Financial Services
Montchal, Raymond	Morgan Stanley
Montchal, Raymond	Citigroup Global Markets
Neuedorf, Robert	David Lerner Associates
Neuedorf, Robert	Merrill Lynch, Pierce, Fenner & Smith Inc
Wernig, Charles III	Voya Financial Advisors
Wernig, Charles III	Kestra Investment Services, LLC
Zhang, Xiangyu	Wells Fargo Clearing Services
Zhang, Xiangyu	LPL Financial LLC

FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

October 22, 2019 | Silver Law Group

According to FINRA Disciplinary actions for August 2019, 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:

NAME	FORMER EMPLOYERS
Sandra Acree	Fidelity Brokerage Services
Andrew Baker	Suntrust Investment Services
Andrew Baker	Wells Fargo Advisors
William Cannon	Lifemark Securities Corp
William Cannon	Fortune Financial Services
Patrick Devaney II	Financial West Group
Patrick Devaney II	Sanford Roberts, Inc
James D’Meo	Kenneth Jerome & Co
James D’Meo	Equity Services, Inc
David Drees	American Financial Services
Clinton Dunbar	Union Capital Company
Clinton Dunbar	IFS Securities
George Edwards	Edward Jones
George Edwards	Cetera Investment Services
Charles Frank	NYLife Securities
Charles Frank	MWA Financial Services
Jack Lowrey Jr.	Ameriprise Financial Services
Jack Lowrey Jr.	NBC Securities
Jeffrey Lundstrom	Signator Investors, Inc
Jeffrey Lundstrom	Transamerica Financial Advisors
Uriah Mitchell	JP Morgan Securities
Raymond Montchal	Morgan Stanley
Raymond Montchal	Citigroup Global Markets
Robert Neuedorf	David Lerner Associates
Robert Neuedorf	Merrill Lynch, Pierce, Fenner & Smith

FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement

October 22, 2019 | Silver Law Group

According to FINRA Disciplinary actions for August 2019, 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
Patrick Auckland	TIAA-VREF Individual & Institutional Services
	Morgan Stanley
Matthew DiNinno	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith
Nicholas Diesso	Ameriprise Financial Services
	Ameriprise Advisor Services
Roger Faubel	Chelsea Financial Services
	National Securities Corp
Keir Harner	Securities America
	Waddell & Reed
Heath Harris	Citigroup Global Markets Inc
	Wells Fargo Clearing Services
Ross Jordan	BBVA Securities
	Morgan Stanley
Charles LaMarca	Benjamin & Jerold Brokerage
	Meridian Equity Partners
Ernest Romer III	Corecap Investments, Inc
	L.M. Kohn & Company
Christopher Sanford	Natwest Markets Securities
	Amherst Pierpont
Matthew Siliato	Wynston Hill Capital
	Spartan Capital Securities

FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information

October 22, 2019 | Silver Law Group

According to FINRA Disciplinary actions for August 2019, 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
Carolyn Andrews	UBS Financial Services
Carolyn Andrews	Morgan Keegan & Company
Meiewyn Avent	Alliance-One Investments
Meiewyn Avent	Metlife Investors Distribution Co
Robert Corley	Fidelity Brokerage Services
Robert Corley	Redstone Securities
Jennifer Margaret
Francisco Garcia	Park Avenue Securities
Francisco Garcia	EQ Financial Consultants
Sparkle Griffen	UBS Financial Services
Sparkle Griffen	Merrill Lynch, Pierce, Fenner & Smith
Robert High II	First National Equity Corp
Robert High II	Chase Investment Services
Richard LaBare	Union Capital Company
Richard LaBare	Morgan Stanley & Co Inc
Arnold Mariampolski	AXA Advisors
Robert Powers	Emerging Growth Equities
Robert Powers	Roth Capital Partners
Brandon Yasso	JP Morgan Securities

Gabriel Block, Barred Broker Formerly With First Standard Financial Company, Subject Of 17 Disclosures

September 17, 2019 | Silver Law Group

Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Continue reading ›

Marcus Boggs, Former Merrill Advisor, Being Sued By SEC Suing For Stealing From Clients

September 17, 2019 | Silver Law Group

The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients.

According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases. Continue reading ›

Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules

August 6, 2019 | Silver Law Group

According to FINRA Disciplinary actions for July 2019, 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:

NAME	FORMER EMPLOYERS
Bender, Charles III	Suntrust Investment Services, Inc
Bender, Charles III	JP Morgan Securities LLC
Bingham, Daniel	Essex Securities LLC
Bingham, Daniel	Investors Capital
Diehlman, Kurt	Investacorp, Inc
Diehlman, Kurt	Schneider Securities, Inc
D’Meo, James	Kenneth, Jerome & Co, Inc
D’Meo, James	Equity Services, Inc
Gallacher, David	LPL Financial LLC
Gallacher, David	AG Edwards & Sons Inc
Giraldo, Jose	Merrill Lynch, Pierce, Fenner & Smith Inc
Giraldo, Jose	David Lerner Associates
Goebel, Kyle
Gonzalez, Fernando	PNC Investments
Gonzalez, Fernando	Merrill Lynch, Pierce, Fenner & Smith Inc
Gurrola, Kenneth	Muriel Siebert & Co., Inc
Gurrola, Kenneth	Kaufman Bros, LP
Harris, Adrianna	Charles Schwab & Co., Inc
Hose, Audrey	UBS Financial Services Inc
Knowles, Jeffrey	LPL Financial LLC
Knowles, Jeffrey	Ameriprise Financial Services, Inc
Laishes, Brian	Investacorp, Inc
Laishes, Brian	Commonwealth Financial Network
May, Timothy	One America Securities, Inc
May, Timothy	Signator Investors, Inc
Noto, Philip	First Standard Financial Company
Noto, Philip	Alexander Capital, LP
Saljooki, Yousuf	Worden Capital Management LLC
Saljooki, Yousuf	SW Financial
Scarfone, Bryce	HSBC Securities
Siegel, Craig	Portfolio Advisors Alliance, LLC
Siegel, Craig	John Thomas Financial
Roger Takami	Voya Financial Advisors, Inc
Roger Takami	LPL Financial Corporation
Thurman, Purnell	Park Avenue Securities LLC
Thurman, Purnell	Merrill Lynch, Pierce, Fenner & Smith Inc
Wernig, Charles III	Voya Financial Advisors, Inc
Wernig, Charles III	Kestra Investment Services, LLC
Zhang, Xtangyu	Wells Fargo Clearing Services, LLC
Zhang, Xtangyu	LPL Financial LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

FINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules

August 6, 2019 | Silver Law Group

According to FINRA Disciplinary actions for July 2019, 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
Bang, Gregory	NYLIfe Securities LLC
Block, Gabriel	First Standard Financial Company
Block, Gabriel	National Securities Corporation
Cardwell, Harlan III	Prospera Financial Services, Inc
Cardwell, Harlan III	Oxford Financial Group
Duchan, Patricia	UBS Financial Services Inc
Golan, Rafael	Crystal Bay Securities Inc.
Golan, Rafael	Independent Financial Group, LLC
Kane, Jordan	Citizens Securities, Inc
Martinez, Joseph	Pruco Securities, LLC
Martinez, Joseph	The Prudential Insurance Company of America
Sercia, Anthony	Traderfield Securities Inc
Sercia, Anthony	Legend Securities, Inc
Weldon, Benjamin	State Farm VP Management Corp

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.