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Gianluca De Berardinis (CRD: 4893776) is a formerly registered broker last employed with Morgan Stanley Wealth Management (CRD# 149777) of New York, NY. He was previously employed briefly with Quad Capital, LLC (CRD# 148927), also of New York. He has been in the industry since 2012. Continue reading ›
Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma’on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. Continue reading ›
Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996.
Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm. Continue reading ›
Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA. He has been in the industry since 2000. Continue reading ›
According to FINRA Disciplinary actions for June 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 |
| Shoaib Qureshi | J.P. Morgan Securities LLC |
| First Republic Securities Company, LLC | |
| Annie Simons |
According to FINRA Disciplinary actions for June 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 |
| James Brown | American Independent Securities Group, LLC |
| Edward Jones | |
| Chun Elmejjad | Equitable Advisors, LLC |
| Sylviah Kemunto | |
| Jonathan Long | Cambridge Investment Research, Inc. |
| Cetera Financial Specialists LLC | |
| Thomas Prieur | Lincoln Financial Advisors Corporation |
| Carlos Ramirez | Citizens Securities, Inc. |
| Key Investment Services LLC | |
| Shaquane Smith-Thompson | J.P. Morgan Securities LLC |
According to FINRA Disciplinary actions for May 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 |
| Kwame Aduesi | Morgan Stanley |
| J.P. Morgan Securities LLC | |
| Brittany Anderson | |
| Gianluca De Berardinis | Morgan Stanley |
| Quad Capital, LLC | |
| Brian Hill | |
| Monu Joseph | Rosenblatt Securities Inc. |
| CIBC World Markets Corp. | |
| Quintosha Thomas |
According to FINRA Disciplinary actions for May 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 |
| Helen Andrews | Morgan Stanley |
| Barclays Capital Inc. | |
| Christine Dormier | UBS Financial Services Inc. |
| Wells Fargo Investments, LLC | |
| David Ferneding | Stifel, Nicolaus & Company, Incorporated |
| Wells Fargo Clearing Services, Inc. | |
| Matthew Grady | Barclays Capital Inc. |
| American Research & Management Company | |
| Leonardo Hernandez III | Citigroup Global Markets Inc. |
| LPL Financial LLC | |
| Seth Horowitz | J.P. Morgan Securities LLC |
| UBS Financial Services Inc. | |
| Jeffrey Nemesi | Falcon Square Capital, LLC |
| Donald Smith | Provident Private Capital Partners, Inc. |
| Vestax Securities Corporation |
According to FINRA Disciplinary actions for May 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 |
| Ian Geeves | Vanderbilt Securities, LLC |
| LPL Financial LLC | |
| Ned Seitler | Charles Schwab & Co., Inc. |
| Neuberger Berman Management Inc. | |
| Timothy Sullivan | International Assets Advisory, LLC |
| SII Investments, Inc. | |
| Kirkland Wilson | Cetera Advisor Networks LLC |
| Securian Financial Services, Inc. |
According to FINRA Disciplinary actions for April 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 |
| James Brown | American Independent Securities Group, LLC |
| Edward Jones | |
| Victor Droubie jr. | LPL Financial LLC |
| Wells Fargo Clearing Services, LLC | |
| Chun Elmejjad | Equitable Advisors, LLC |
| AXA Advisors, LLC | |
| Jonathan Gervaise | Jackson National Life Distributors LLC |
| Pruco Securities, LLC | |
| Jonathan Long | Cambridge Investment Research, Inc. |
| Cetera Financial Specialists LLC | |
| Thomas Prieur | Lincoln Financial Advisors Corporation |
| The Lincoln National Life Insurance Company | |
| Ronald Wells II | Northwestern Mutual Investment Services, LLC |
Securities Arbitration Lawyers Blog