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Articles Posted in FINRA Disciplinary Actions

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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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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.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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According to FINRA Disciplinary actions for June 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
  Joanna Abdelhadi   Wells Fargo Clearing Services, LLC
  Credit Suisse Securities LLC
  Kenneth Butschek   ProEquities, Inc.
  Securities Management & Research, Inc.
  Nathaniel Clay   Laidlaw & Company (UK) Ltd
  National Securities Corporation
  Alan Lau   Wells Fargo Clearing Services, LLC
  Wells Fargo Investments, LLC
  Scott Levine   Craft Capital Management LLC
  PHX Financial, Inc.
  Stefano Listella   J.P. Morgan Securities LLC
  Great Point Capital, LLC
  Stanley Martin   Allstate Financial Services, LLC
  H&R Block Financial Advisors, Inc.
  Scott Mason   Voya Financial Advisors, Inc.
  LPL Financial LLC
  Jon Scheier   Edward Jones
  Scott Snelling   Kestra Investment Services, LLC
  National Planning Corporation
  Elizabeth Sollars   Allstate Financial Services, LLC
  Marc Winters   Wedbush Securities Inc.
  UBS Financial Services Inc.

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According to FINRA Disciplinary actions for June 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
  Timothy Crowley   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Christian Evans   Morgan Stanley
  Highland Capital Funds Distributor, Inc.
  Randy Jackson   Merrill Lynch, Pierce, Fenner & Smith Inc
  E*Trade Securities LLC
  Fernando Landicho   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Grizelle Perez   USC Securities LLC
  Sanders Morris Harris LLC
  John Wyshak   Raymond James & Associates, Inc.
  Wedbush Securities Inc.

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According to FINRA Disciplinary actions for July 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
  Robert Cacioppo   MML Investors Services, LLC
  NYLIfe Securities LLC
  Michael Davis   Allied Millennial Partners, LLC
  Syren Capital Advisors
  David Del Rio   LPL Financial LLC
  SunTrust Investment Services, Inc.
  Mary Beth Frassetto   Thrivent Investment Management Inc.
  Megan Hoffman   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Jody Pullium   Allstate Financial Services, LLC
  PNC Investments
  Ana Rivera   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  George Schmidt, Jr.   Lincoln Financial Advisors Corporation
  Hornor, Townsend & Kent, Inc.
  Kevin Williams   Lucia Securities, LLC
  Wells Fargo Clearing Services, LLC

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According to FINRA Disciplinary actions for July 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
  Thomas Ambrose   Ambrose Wealth Management
  Cambridge Investment Research, Inc.
  Matthew Beaver   Grit Wealth Management, LLC
  Ameriprise Financial Services, Inc.
  Neal Carlson   Forthright Family Wealth Advisory LLC
  Wells Fargo Clearing Services, LLC
  Karl Foust, Jr.   H.D. Vest Investment Services
  GunnAllen Financial, Inc.
  Ryan Kaufman   Securities America, Inc.
  Woodbury Financial Services, Inc.
  Henry Osorio, Jr.   Westrock Advisors, Inc.
  S.W. Bach & Company
  Damion Smith   Great Gable Wealth Management
  Morgan Stanley
  Walter Taylor, Jr.   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Howard Walzer   BB&T Securities, LLC
  UBS Financial Services Inc.
  Xianyu Yu Zhang   Wells Fargo Clearing Services, LLC
  LPL Financial LLC

Continue reading ›

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According to FINRA Disciplinary actions for June 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
  Conrad Coggeshall   Packerland Brokerage Services, Inc.
  USA Financial Securities Corporation
  Madeline Colon
  Jennifer Holmes   Voya Financial Advisors, Inc.
  ING Financial Advisers, LLC
  Yee Yee Htwe   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Farmers Financial Solutions, LLC
  Jennifer Pendley   J.P. Morgan Securities LLC
  David Stateman   Allstate Financial Services, LLC
  AXA Advisors, LLC
  Alexander Walker   Fidelity Brokerage Services LLC

Continue reading ›

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