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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for November 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
  Ainsworth, Richard   Southwest Securities, Inc
  Morgan Stanley Smith Barney
  Campbell, Charles   A.G. Edwards & Sons, Inc
  H&R Block Financial Advisors
  Leeuw, Nancy
  Leeuw, Perry   PFS Investments Inc
  Primerica Financial Services
  Brian Decker   Worden Capital Management LLC
  Legend Securities
  Jones, Johnnie   National Securities Corporation
  John Thomas Financial
  Misseri, Bernardo   Legend Securities, Inc
  JP Turner & Company
  Oakes, Thomas   Royal Securities Company
  Kent King Securities o., Inc
  Orormaner, Michael   Cova Capital Partners LLC
  Salomon Whitney Financial
  Pagartanis, Steven   Lombard Securities Inc
  Cadaret, Grant & Co
  Siliato, Matthew   Wynston Hill Capital, LLC
  Spartan Capital Securities
  Spaventa, Andrew   SW Financial
  Network 1 Financial Securities
  Taylor, James   First Empire Securities,Inc
  Morgan Stanley

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According to FINRA Disciplinary actions for November 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
  Acree, Sandra   Fidelity Services LLC
  Ader, Debra
  Baker, Andrew   Suntrust Investment Services, Inc
  Wells Fargo Advisors, LLC
  Bermingham, Reed   Commonwealth Financial Network
  Manning Wealth Management
  Brackett, Michael   Sterne Agee Financial Services, Inc
  Transamerica Financial Advisors, Inc
  Childs, Margareta   Western Financial Securities
  Financial West Group
  Chinn, Pete   HD Vest Investment Securities, Inc
  Pete Chinn Accountancy Corp
  Credle, Eric   Pruco Securities, LLC
  Prudential Insurance Co
  Dreesm David   Ameriprise Financial Services
  Edwards, George   Edward Jones
  Cetera Investment Services LLC
  Harris, Jason   Edward Jones
  Lowery, Jack Jr.   Ameriprise Financial Services
  NBC Securities, Inc
  Pullin, Oivia
  Ryan, Stephen   MML Investors Services, LLC
  NYLife Securities LLC
  Sears, Vernon Jr.   Wells Fargo Clearing Services, LLC
  Raymond James & Associates, Inc
  Soliman, Fadi   IBN Financial Services, Inc
  Ameriprise Financial Services, Inc.

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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
  National Securities Corp
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Germano, Anthony   Wells Fargo Advisors Financial Network
  UBS Financial Services
  Lokits, Brandon   Wells Fargo Clearing Services
  Edward Jones
  Mesaros, Shawn   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc
  Reynolds, John Jr.   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shotz, Richard   Wells Fargo Clearing Services
  Morgan Stanley
  Vaccaro, Anthony Jr.   Raymond James & Assoc
  Southwest Securities

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

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

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

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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

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

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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. Block began in the industry in 1990. In February, 2019 FINRA barred him from acting as a broker after he failed to respond to a request for information. His publicly-available FINRA BrokerCheck report lists 17 disclosures from 1999 to 2019. 12 of the disclosures are customer disputes, and 5 are regulatory events.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 ›

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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.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 ›

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