FINRA Disciplinary Actions

Douglas Leone of Salomon Whitney LLC

January 14, 2019 | Silver Law Group

Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013. Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008.

Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199 Leone was barred from association with any FINRA member in all capacities. The sanctions were based on findings that Leone failed to attend an on-the-record interview during an investigation by FINRA. The findings stated that FINRA opened an investigation into Leone’s potential unsuitable recommendations and excessive trading in customer accounts. FINRA twice requested that Leone appear at an on-the-record interview to provide testimony.

The decision became final May 21, 2018.

John Galinsky of First Dominion Capital Corp.

January 14, 2019 | Silver Law Group

John Galinsky (CRD #1513926) has been employed with First Dominion Capital since November 2017. Previous employment includes National Securities Corporation from January 2012 to November 2017, Fintegra LLC from January 2010 to December 2011 and Advanced Equities from November 1999 to October 2009.

Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199 Galinsky was fined $7,500 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the findings, Galinsky consented to the sanctions and to the entry of findings that he sent emails to prospective and current investors that were not fair and balanced and did not provide a sound basis for evaluating the facts regarding a company involved in a private securities offering or the offering itself. The findings stated that on two occasions, Galinsky forwarded an email to a customer, which removed references to a patent infringement lawsuit that had recently been filed against the company involved in the offering. By doing so, Galinsky caused his email to be misleading, in that it appeared to forward the entire email that he had received when, in fact, it did not.

The suspension was in effect from May 21, 2018, through June 4, 2018.

In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules

January 3, 2019 | Silver Law Group

According to FINRA Disciplinary actions for December 2018, 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
Barrick, Tabor	FBL Marketing Services, LLC
Barrick, Tabor	Allstate Financial Services, LLC
Conklin, Jeffrey	The Huntington Investment Company
Conklin, Jeffrey	American General
Crocker, Sierra	Voya Financial Partners, LLC
Crocker, Sierra	Suntrust Bank
Fidelman, Peter	Bradley Woods & Co LTD
Fidelman, Peter	Griffin Securities, Inc
Gaston, Frantz	State Farm VP Management Corp
Gaston, Frantz	Frantz Gaston Jr Insurance Agency
Guillory, Michael	Financial West Group
Guillory, Michael	The Shemano Group
Harris, Donna	Vanguard Marketing Corp
Hartigan, John	Entrustpermal Securities LLC
Hartigan, John	Calyon Financial Inc
Henty, Omar	Cetera Advisors LLC
Henty, Omar	JP Morgan Securities
King, Erin	Wells Fargo Clearing Services
Lossing, Christopher	LPL Financial LLC
Lossing, Christopher	Edward Jones
McNeil, Randolph	Buckman, Buckman & Reid, Inc
McNeil, Randolph	Garden State Securities, Inc
Manichino, Richard	Next Financial Group, Inc
Manichino, Richard	Wunderlich Securities, Inc
Nicholl, Timothy
Olson, Eric	NYLIFE Securities LLC
Olson, Eric	Wells Fargo
Perez, Paul	Investacorp, Inc
Perez, Paul	Fintegra, LLC
Simon, Justin	NYLIfe Securities LLC
Simon, Justin	Country Capital Mgmt Company
Strawn, Brandon
Sullivan, Daniel	Wunderlich Securities, Inc
Sullivan, Daniel	Chapdelaine & Co
Tinsley, Sean	Park Avenue Securities LLC
Tinsley, Sean	AXA Advisors, LLC
Vallencourt, Peter	Fidelity Brokerage Services LLC
Wilson, Vance	Wells Fargo Clearing Services, LLC
Wilson, Vance	Fidelity Brokerage Services LLC
Witt, Robert	Voya Financial Advisors, Inc
Witt, Robert	ING Financial Partners, Inc
Wood, Daniel	LPL Financial LLC
Wood, Daniel	Morgan Stanley Smith Barney
Wright, Bryan	Pruco Securities, LLC
Wright, Bryan	The Prudential Insurance Company of America

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.

Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules

January 3, 2019 | Silver Law Group

According to FINRA Disciplinary actions for December 2018, 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
Adamo, Gregory	Allstate Financial Services, LLC
Adamo, Gregory	National Securities Corp
Drill, John	Northwestern Mutual Investment Services, LLC
Drill, John	Robert Baird & Co. Inc
Flores, Daniel	Woodbury Financial Services, Inc
Flores, Daniel	Princor Financial Services Corp
Giraldo, Jose	Merrill Lynch, Pierce, Fenner & Smith Inc
Giraldo, Jose	David Lerner Assoc, Inc
Heitz, Donald	LPL Financial LLC
Heitz, Donald	First Command Financial Planning, Inc
Jenkins, Elisabeth	LPL Financial LLC
Jenkins, Elisabeth	ESL Investment Services, LLC
Krize, Joshua	Wells Fargo Clearing Services, LLC
Krize, Joshua	Country Capital Management Co
Lanaia, Francine	Windsor Street Capital, LP
Lanaia, Francine	Alexander Capital, LP
Moore, Daniel
Palmer, David	LPL Financial LLC
Palmer, David	Woodbury Financial Services, Inc
Pheth, Somning	Wells Fargo Clearing Services
Sachse, Mark	Ameriprise Financial Services, Inc
Sachse, Mark	Robert W. Baird & Co, Inc
Schreiner, Phillip	Morgan Stanley
Schreiner, Phillip	Merrill Lynch, Pierce, Fenner & Smith, Inc
Sterr, Margaret	M Holdings Securities, Inc
Sterr, Margaret	Catalyst Solutions Group
Suhar, Charles	The Huntington Investment Company
Suhar, Charles	LPL Financial LLC
Swords, Zachary	Farmers Financial Solutions, LLC
Valenzuela, Francisco	Morgan Stanley
Valenzuela, Francisco	Merrill Lynch, Pierce, Fenner & Smith, Inc

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 December 2018 for Failing to Comply with FINRA Rules

January 3, 2019 | Silver Law Group

According to FINRA Disciplinary actions for December 2018, 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
Albin, William	Waddell & Reed
	Metlife Securities Inc
Allen, David	Avenir Financial Group
	Gunnallen Financial, Inc
Boupon, Kean	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Chang, Jonathan	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Clements, Michael	Intercoastal Capital Markets, Inc
	Avenir Financial Group
Fagenson, David	UBS Financial Services Inc
	Merrill Lynch, Pierce, Fenner & Smith Inc
Kelly, James	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Martino, Andrew	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Miller, Frederick	Investshares
	Ameriprise Financial Services, Inc
Rodriquez, Cesar	Avenir Financial Group
	American Trust Investments Services Inc
Roth, Brian	Aeon Capital Inc
	The Benchmark Company, LLC
Sarria, Jorge	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Weinstein, Gregg	Entrustpermal Securities LLC
	Cantor Fitzgerald & Co
Yassin, Mohamed	National Securities Corporation
	Morgan Stanley

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 Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual

December 20, 2018 | Silver Law Group

Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard Pariser (CRD #2755015) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. His previous employers include SWS Financial Services, INC. (CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. No current employment information is available. He has been in the industry since 1996.

South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200 Pariser is barred in all capacities after he failed to provide requested information to FINRA for an investigation. The documentation relates to allegations that he referred some of his customers to an individual who was not a registered FINRA broker. This unregistered individual and may have recommended to or actually sold these customers “potentially unsuitable” securities. Pariser violated FINRA Rules 8210 and 2010 by refusing to provide this requested documentation, which led to him being barred. He signed an Acceptance, Waiver & Consent (AWC) letter consenting to the sanctions, and he is barred effective 10/04/2018.

His next disclosure is an employment separation from SWS Financial Services on 6/20/2014, which is connected by a closed customer dispute filed four days earlier, involving “unauthorized discretion.” The allegations state that “during the course of normal e-mail correspondence review, firm supervisors discovered an e-mail message from the customer containing language indicating that the representative may have engaged in unauthorized discretionary trading.”

November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules

December 18, 2018 | Silver Law Group

According to FINRA Disciplinary actions for November 2018, 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
Christopher Cervino	Primary Capital, LLC
	COR Clearing LLC
Abdul Chowdhury	AXA Advisors, LLC
	JP Morgan Securities LLC
Michael Durgin	Hilltop Securities Inc.
	First Southwest
Michael Giokas	Fortune Financial Services, Inc
	Comprehensive Asset Management and Servicing
Travis Marks	Wells Fargo Advisors, LLC
	JP Morgan Securities LLC
Richard Minichino	Next Financial Group, Inc
	Wunderlich Securities, Inc
Thomas Park	Merrill Lynch, Pierce, Fenner & Smith Inc
	Wells Fargo Clearing Services, LLC
Brian Roth	The Benchmark Company, LLC
	Intl Assets Advisory, LLC
Whitney Stewart	Morgan Stanley
	Edge Capital Group, LLC
James Taylor	First Empire Securities, Inc
	Morgan Stanley

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.

Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules

December 18, 2018 | Silver Law Group

According to FINRA Disciplinary actions for November 2018, 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
Denise Canez
James Flynn	IFS Securities
James Flynn	Voya Financial Advisors, Inc
Glenn Grosek	Citizens Securities, Inc
Glenn Grosek	Pruco Securities, LLC
Phillip Johnson	D.H. Hill Securities, LLP
Phillip Johnson	Suntrust Investment Services, Inc
Lloyd Johnston	Capital Financial Services, Inc
Lloyd Johnston	BP&J / LLC
Robin Lomont
Bradley Pace	LPL Financial LLC
Bradley Pace	A.J. Pace & Co, Inc
Damian Serret	PFS Investments Inc
James Ward	Northwestern Mutual Investment Services, LLC
Stephen Yaworsky	Raymond James Financial Services, Inc
Stephen Yaworsky	Bancwest Investment Services, Inc.

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 Suspends Registered Individuals in November 2018 for Violations of FINRA Rules

December 18, 2018 | Silver Law Group

According to FINRA Disciplinary actions for November 2018, 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
Jose Arizmendi	Silber Bennett Financial, Inc
Jose Arizmendi	TCFG Wealth Management, LLC
Tani Balas	SCF Securities, Inc
Tani Balas	Klopp Agency
Mauricio Borja	Allstate Financial Services, LLCX
Brian Coffey	National Financial Services LLC
Brian Coffey	Fidelity Brokerage Services LLC
Rita Dulya	Kovack Securities Inc.
Rita Dulya	Pro-Integrity Securities, Inc
Makiaha Evans
Brendan Feitelberg	United Planners’ Financial Services of America
Brendan Feitelberg	LPL Financial LLC
Edgar Guzman-Gonzalez	JP Morgan Securities LLC
Mario Jimenez	Merrill Lynch, Pierce, Fenner & Smith Inc
Mario Jimenez	Bank of America, N. A.
Frantz Justafort	JP Morgan Securities LLC
Frantz Justafort	Chase Investment Services Corp.
Linda Lin
Nicholas Maddox	TCFG Wealth Management, LLC
Nicholas Maddox	U.S. Bancorp Investments, Inc.
Gustavo Madrigal-Flores	J.P. Morgan Securities LLC
Virginia Nichols	LPL Financial LLC
Virginia Nichols	Merrill Lynch, Pierce, Fenner & Smith Inc
Jeffrey Offen	Craft Capital Management LLC
Jeffrey Offen	Salomon Whitney Financial
Issac Onu	NY Life Securities LLC
Issac Onu	Wells Fargo Advisors, LLC
Michael Resciniti	Spartan Capital Securities, LLC
Michael Resciniti	First Standard Financial Company LLC
Mark Sachse	Ameriprise Financial Services, Inc.
Mark Sachse	Robert W. Baird & Co Inc.
James Schwede
Zachary Sherry Jr.	NYLIfe Securities LLC
Christopher Simonds	Edward Jones
Kimberly Sredich
Dudley Stephens	Coastal Equilites, Inc
Dudley Stephens	Prospera Financial Services, Inc
Divanna Tejeda	JP Morgan Securities LLC
Divanna Tejeda	Chase Investment Services Corp
Derrick Trussell	PFS Investments Inc.
Derrick Trussell	Primerica Financial Services
Rick Walker	Morgan Stanley
Rick Walker	Citigoup Global Markets Inc
James Walters II	Edward Jones
Mohamed Yassin	National Securities Corporation
Mohamed Yassin	Morgan Stanley

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 Suspends Francisco Faraco For Forging Signatures

November 2, 2018 | Silver Law Group

Francisco Jose Faraco (CRD #5095972) is a former registered broker and investment advisor whose last employer was Morgan Stanley (CRD #149777) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) both of Miami, FL. No other employment information is available, and he is not currently registered with any FINRA member firm. He has been in the industry since 2006.

FINRA-Permanently-Bars-Broker-Richard-McGuire-for-Taking-Funds-and-Forging-Signatures-300x200 Faraco is the subject of three disclosures. Two are for one specific incident.

In January of 2016, Faraco allegedly began assisting an institutional customer obtain a $15M loan from Morgan Stanley Private Bank. In the course of applying, he attempted to keep the process moving after two roadblocks—an expired passport for one individual, and forging two signatures on two assurance documents for collateral. Faraco felt the documents were duplicates. Those signatures were representatives of affiliated companies. The bank approved the loan, and the forgeries were discovered only after one of the affiliates complained.