A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in FINRA Disciplinary Actions

|

Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. M. Kohn discharged Rahman on 10/9/2023 after the discovery that he was engaged in outside business activities (OBA) with a 78-year-old client during his previous employment at Merrill, Lynch.Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. Continue reading ›

|

Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the industry since 1997. Western International Securities discharged Higgins on 6/21/2024 following his disclosure to his firm that he had been misappropriating client funds for personal use. He began this practice in 2007 during his tenure with is former employer, Financial West Group. Once terminated, Western International filed a Uniform Termination Notice for Securities Industry Registration (Form U5) with FINRA to notify them of his discharge. FINRA’s National Cause and Financial Crimes Detection Programs were also notified and began its investigation. FINRA sent letters to Higgins on 6/24/2024 requesting both related documents and information and a request to appear for on-the-record testimony, which he failed to do.Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the industry since 1997. Continue reading ›

|

According to FINRA Disciplinary actions for October, 2024, 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
Jason Bostian Wells Fargo Clearing Services, LLC
Morgan Stanley
Helen Caldwell Wells Fargo Clearing Services, LLC
Citigroup Global Markets Inc.
Henry Chang Laidlaw &Company
Morgan Stanley
Brian Chicas NYLife Securities LLC
Larry Law Great Point Capital, LLC
JRL Capital Corporation
Gaetano Magarelli Center Street Advisors, Inc.
Newbridge Securities Corporation
Ryan Stoner Fifth Third Securities, Inc.
Wells Fargo Clearing Services, LLC
Joseph Todaro Network 1 Financial Securities Inc.
SW Financial

Continue reading ›

|

According to FINRA Disciplinary actions for October 2024, 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
Iam Aguilar Fidelity Brokerage Services LLC
Luke Brooks U.S. Bancorp Investments, Inc.
Glenn Colangelo American Independent Securities Group, LLC
The O.N. Equity Sales Company
Luis Jean-Bart PFS Investments Inc.
Matthew Kagan Merrill Lynch, Pierce, Fenner & Smith Incorporated
Northwestern Mutual Investment Services, LLC
Joseph Seidler RBC Capital Markets, LLC
Wells Fargo Clearing Services, LLC

Continue reading ›

|

According to FINRA Disciplinary actions for October 2024, 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
Fanar Almosleh U.S. Bancorp Investments, Inc.
Sebastian Bongiovanni Spartan Capital Securities, LLC
Newbridge Securities Corporation
Nicholas Camp Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jessica Cottee Valic Financial Advisors, Inc.
Park Avenue Securities LLC
Samuel Girgiss Spartan Capital Securities, LLC
Worden Capital Management LLC
Johnathan Grasser Farmers Financial Solutions, LLC
Vanessa Hendrickson NYLife Securities LLC
Zayed Regalado NYLife Securities LLC
Jeffery Sanders Woodmen Financial Services, Inc.

Continue reading ›

|

According to FINRA Disciplinary actions for September 2024, 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
Akshita Bhatia
Juan Gauna NYLife Securities LLC
Peter Girgis SW Financial
Worden Capital Management LLC
Timothy Jefferson Aegis Capital Corp.
Ameriprise Financial Services, LLC
Barak Rebibo J.P. Morgan Securities LLC
Courtney Smith Spire Securities, LLC
Hightower Securities, LLC

Continue reading ›

|

According to FINRA Disciplinary actions for September, 2024, 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
John Boatright Newbridge Securities Corporation
Summitt Brokerage Services, Inc.
Robert Boyer Wells Fargo Clearing Services, LLC
Credit Suisse Securities (USA) LLC
Paul Feller
Wentworth Gardner CUNA Brokerage Services, Inc.
AXA Advisors, LLC
Sevag Haddadian Wells Fargo Clearing Services, LLC
Morgan Stanley
Carol Miller Wells Fargo Clearing Services, LLC
Wells Fargo Advisors LLC
Jason Pirnie Pallas Capital Advisors, LLC
UBS Financial Services, Inc.
Gretchen Wallace Oppenheimer & Co., Inc.
Morgan Stanley
David Wolfe Hamilton Grant, LLC
Aaron Capital Incorporated

Continue reading ›

|

According to FINRA Disciplinary actions for September 2024, 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
Matthew Davis Charles Schwab & Co., Inc.
Fidelity Brokerage Services LLC
Madison Kelly PFS Investments Inc.
Sean Mostero LPL Financial LLC
Cetera Advisors LLC
Shoaib Qureshi J.P. Morgan Securities LLC
First Republic Securities Company, LLC
Annie Simons

Continue reading ›

|

According to FINRA Disciplinary actions for August 2024, 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
  Ned Seitler   Charles Schwab & Co., Inc.
  Neuberger Berman Management, Inc.
  Kirkland Wilson   Cetera Advisor Networks LLC
  Securian Financial Services, Inc.

Continue reading ›

|

According to FINRA Disciplinary actions for August 2024, 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
  Fanar Almosleh   U.S. Bancorp Investments, Inc.
  Zev Bishop   Raymond James Financial Services, Inc.
  Nicholas Camp   Bank of America, N.A.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jessica Cottee   Valic Financial Advisors, Inc.
  Park Avenue Securities LLC
  Samuel Girgiss   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Vanessa Hendrickson   NYLife Securities LLC
  Mariah Nagy   J.P. Morgan Securities LLC
  Zayed Regalado   NYLife Securities LLC
  Jeffery Sanders   Woodmen Financial Services, Inc.
  Daniel Turner   Vanguard Marketing Corporation

Continue reading ›

Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Silver Law Group
JUSTIA Law Firm Blog Design