FINRA Disciplinary Actions

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.

FINRA Names Individuals Suspended 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 suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Deblois, Matthew	The Champion Group, Inc
Deblois, Matthew	McNally Financial Services Corp
Dewaay, Donald Jr.	Dewaay Financial Network, LLC
Dewaay, Donald Jr.	VSR Financial Services, Inc
Freeman, Michael	Spartan Capital Securities, LLC
Freeman, Michael	Legend Securities, Inc
Fuzie, Cindy	Morgan Stanley
Fuzie, Cindy	MML Investors Services, LLC
Hernandez, Evelyn	Morgan Stanley
Hernandez, Evelyn	Chase Investment Services
Barry, Jin	Spartan Capital Securities, LLC
Barry, Jin	Lampert Capital Markets Inc
LaVolpe, Michael	Meyers Associates, LP
Leonard, William	JH Darbie & Co, Inc
Leonard, William	BMS Securities, LLC
Walsworth, Peter	Morgan Stanley
Walsworth, Peter	Merrill Lynch, Pierce, Fenner & Smith Inc

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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules

July 1, 2019 | Silver Law Group

According to FINRA Disciplinary actions for June 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
Andrews, Carolyn	UBS Financial Services Inc.
Andrews, Carolyn	Morgan Keegan & Company, Inc
Avent, Meiewyn	Alliance-One Investments, LLC
Avent, Meiewyn	Metlife Investors Distribution Company
Bougopoulkos, Nicholas	Wells Fargo Securities, LLC
Bougopoulkos, Nicholas	Stifel Financial Corp
Cook, Marian	Farmers Financial Solutions, LLC
Corley, Robert	Fidelity Brokerage Services LLC
Corley, Robert	Redstone Securities, Inc
Detamore, Craig	Allstate Financial Services, LLC
Dysart, Jennifer
Friedman, Steven	Ameriprise Financial Services, Inc
Friedman, Steven	IDS Life Insurance Company
Garcia, Francisco	Park Avenue Securities
Garcia, Francisco	EQ Financial Consultants Inc
Griffin, Sparkle	UBS Financial Services Inc.
Griffin, Sparkle	Merrill Lynch, Pierce, Fenner & Smith Inc
Heilman, Peter	Edward Jones
High, Robert	First Financial Equity Corp
High, Robert	Chase Investment Services Corp
Irizarry, Melissa	LPL Financial LLC
Irizarry, Melissa	Invest Financial Corp
LaBare, Richard	Union Capital Company
LaBare, Richard	Morgan Stanley & Co Inc
Mariampolski, Arnold	AXA Advisors
Ohel, Ziv	CFD Investments, Inc
Ohel, Ziv	Ameriprise Financial Services, Inc
Ortega, James	Allstate Financial Services, LLC
Powers, Robert	Emerging Growth Equities, LTD
Powers, Robert	Roth Capital Partners, LLC
Rubio, Miguel	State Farm VP Management Corp
Soto, Rani	Prudential Investment Mgmt Services LLC
Soto, Rani	Alliance Bernstein Investments, Inc
Thompson-Owens, Terrell
Thurman, Purnell	Park Avenue Securities LLC
Thurman, Purnell	Merrill Lynch, Pierce, Fenner & Smith Inc
Yasso, Brandon	JP Morgan Securities 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.

In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules

July 1, 2019 | Silver Law Group

According to FINRA Disciplinary actions for June 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
Andrews, Helen	Morgan Stanley
	Barclays Capital Inc
Andreyeva, Tatyana	Westpark Capital, Inc
	Fordham Financial Management, Inc
Basarian, Gary	Royal Alliance Associates, Inc
	Integrated Resources Equity Corp
Bowen, Heath	Allegis Investment Services, LLC
	Signator Financial Services, Inc
Cohen, Michael	Dinosaur Financial Group, LLC
	IFS Securities
Gendlek, Francis	IFS Securities
	TFS Securities, Inc
Hartnett, Richard	Morgan Stanley
	CIBC World Markets Corp
Kanoy, Anson	Raymond James & Assoc, Inc
	Wells Fargo Advisors, LLC
Miller, Eric	Scottsdale Capital Advisors Corp
	Rocky Mountain Securities & Investments, Inc
Murray, Stephen	Raymond James & Associates, Inc
	Morgan Keegan & Company, Inc
Ramcharran, Rameshwar	Ameriprise Financial Services, Inc
	Merrill Lynch, Pierce, Fenner & Smith Inc
Romer III, Ernest	Corecap Investments, Inc
	L.M. Kohn & Company
Rumayor, Juan	Farmers Financial Solutions, LLC
	HSBS Securities (USA) Inc
Salcedo, Alex	Scottrade, Inc
	Wells Fargo Clearing Services, LLC
Webb, James Jr.	Citigroup Global Markets Inc
	Merrill Lynch, Pierce, Fenner & Smith Inc

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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules

July 1, 2019 | Silver Law Group

According to FINRA Disciplinary actions for June 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
Anderzejewski, Bryan	Dean Bradley Osbourne Partners LLC
Anderzejewski, Bryan	Morgan Stanley & Co Inc
Boggs, Marcus	Merrill Lynch, Pierce, Fenner & Smith Inc
Boggs, Marcus	Bank of America
Gennity, William	First Standard Financial Company
Gennity, William	Alexander Capital, LP
Gomez, Edwin	PFS Investments Inc.
Gomez, Edwin	Primerica Financial Services
LaMarca, Charles	Benjamin & Jerold Brokerage I, LLC
LaMarca, Charles	Meridian Equity Partners, Inc
Laveck, David	MML Investors Services, LLC
Laveck, David	MSI Financial Services, Inc
Won Lee, Kevin	J.P. Morgan Securities LLC
Won Lee, Kevin	AXA Advisors, LLC
Maurer, William	Voya Financial Partners, LLC
Nye, Jason	The O.N. Equity Sales Company
Nye, Jason	UBS Paine Webber Inc.
Sercia, Anthony	Traderfield Securities, Inc.
Sercia, Anthony	Legend Securities, Inc
Torres, John	JP Morgan Securities LLC
Torres, John	Wells Fargo Bank
Whiting, David	Alternative Asset Investment Mgmt. Services
Whiting, David	HD Vest Investment Services

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.