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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for December 2023, 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 Carlson   Capital Financial Services, Inc.
  Integrity Funds Distributor, Inc.
  John Goodwin   LPL Financial LLC
  MML Investors Servies, LLC
  Jane Terry   Raymond James Financial Services, Inc.
  Everen Securities, Inc.
  Armando Wood   Raymond James & Associates, Inc.
  UBS Financial Servies Inc.

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According to FINRA Disciplinary actions for December 2023, 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
  Thomas Cole III   Charles Schwab & Co., Inc.
  Equitable Advisors, LLC
  Daniel Ditch   PFS Investments Inc.
  Stephen Jones   Equitable Advisors, LLC
  Robert Luley, Jr.   Pruco Securities, LLC
  Madison Avenue Securities, LLC
  Hector Negrete   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Louis No   NYLife Securities, LLC
  Shawn O’Connell   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chanda Park   Transamerica Financial Advisors, Inc.
  William Rodriguez

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According to FINRA Disciplinary actions for December 2023, 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
  Michael Capolongo   Network 1 Financial Securities Inc.
  Worden Capital Management LLC
  Michael Fasciglione   Aegis Capital Corp.
  National Securities Corporation
  Isaiah Frection   NYLife Securities LLC
  Johnathan Hagood   Wells Fargo Clearing Services, LLC
  Christopher Lynch   Pruco Securities, LLC
  LPL Financial LLC
  John Rabulan   NYLife Securities LLC
  Dennis Riordan   Wynston Hill Capital, LLC
  Aeon Capital Inc
  Adriano Schultz   J.P. Morgan Securities LLC
  Wells Fargo Clearing Services, LLC
  Brittny Stagnitto
  Anthony Vadino   Equitable Advisors, LLC
  LPL Financial LLC

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According to FINRA Disciplinary actions for November 2023, 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
  Charles Connors   LPL Financial LLC
  Transamerica Financial Advisors, Inc.
  Andrew Grezlak   Cambridge Investment Research, Inc.
  Heron Rattray, Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Merrill Richardson   Goldman Sachs & Co, LLC
  William Blair & Company LLC
  Michael Solomon   Maxim Group LLC
  HFP Capital Markets LLC
  Steven Thompson   Network 1 Financial Securities Inc.
  SW Financial
  Bertram Unger   Edward Jones
  Pruco Securities, LLC
  Jessica Wade
  Shane Wilhelm   Fortune Financial Services, Inc.
  Truist Investment Services, Inc.

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According to FINRA Disciplinary actions for November 2023, 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
  David Funes   Realized Financial, Inc.
  Wealthforge Securities, LLC
  Sebastian Puznowski   Equitable Advisors, LLC
  Richard Webb   Park Avenue Securities LLC

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According to FINRA Disciplinary actions for November 2023, 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 Cavanagh   Spartan Capital securities, LLC
  National Securities Corporation
  Michael Digioia   Lampost Capital, L.C.
  Arive Capital Markets
  Dan Droeg   United Planners’ Financial Services of America
  Sagepoint Financial, Inc.
  Thomas McDevitt   Ameriprise Financial Services, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Louis Pellegriti   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Jorge Sarria   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Daniel Snodgrass   BCG Securities, Inc.
  UBS Financial Services Inc.
  Kevin Springstead   Craft Capital Management LLC
  Arive Capital Markets
  Terry Tzagarakis   Arive Capital Markets
  Worden Capital Management LLC
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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Shane Wilhelm (Shane Collins Wilhelm CRD# 4803933) is a former registered broker and investment advisor last employed with Fortune Financial Services, Inc. (CRD# 42150) of Moneta, VA. His previous employers include Truist Investment Services, Inc. (CRD#:17499), BB&T Securities, LLC (CRD# 142785), and Scott & Stringfellow, LLC (CRD# 6255) all of Roanoke, VA. He has been in the industry since 2004. FINRA recently barred Wilhelm following an investigation in which he failed to respond to the agency’s request for information. He was barred indefinitely on 9/5/2023. No additional information is available.Shane Wilhelm (Shane Collins Wilhelm CRD# 4803933) is a former registered broker and investment advisor last employed with Fortune Financial Services, Inc. (CRD# 42150) of Moneta, VA. His previous employers include Truist Investment Services, Inc. (CRD#:17499), BB&T Securities, LLC (CRD# 142785), and Scott & Stringfellow, LLC (CRD# 6255) all of Roanoke, VA. He has been in the industry since 2004. Continue reading ›

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Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. His previous employers include Ameriprise Financial Services, Inc. (CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury, NY, and Gilford Securities Incorporated (CRD# 8076) of Melville, NY. He has been in the industry since 2003. FINRA initiated a review of a customer claim filed against Ameriprise during Matalon’s employment with the firm, from 05/31/2013 through 08/16/2019. FINRA sent Matalon a letter on April 6, 2023, requesting Matalon produce documents and information related to the investigation.Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. His previous employers include Ameriprise Financial Services, Inc. (CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury, NY, and Gilford Securities Incorporated (CRD# 8076) of Melville, NY. He has been in the industry since 2003. Continue reading ›

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D. Wray Rodgers (CRD# 2842993, aka, “D Wray Rodgers,” “D. Ray Rodgers,” and Wray Rodgers”) is a former registered broker last employed with Vining-Sparks IBG, LLC (CRD# 27502) and previously employed with ICBA Securities (CRD# 24088), both of Memphis, TN. He has been in the industry since 1997. On 5/20/2022, Vining-Sparks filed a Uniform Termination Notice for Securities Industry Registration (Form US) disclosing that Rodgers voluntarily terminated his association with the firm. FINRA then commenced a review into the termination, and requested Rodgers submit documents and information to support that review.D. Wray Rodgers (CRD# 2842993, aka, “D Wray Rodgers,” “D. Ray Rodgers,” and Wray Rodgers”) is a former registered broker last employed with Vining-Sparks IBG, LLC (CRD# 27502) and previously employed with ICBA Securities (CRD# 24088), both of Memphis, TN. He has been in the industry since 1997. Continue reading ›

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Leslie Jackson (Leslie Don Jackson CRD# 2176917) is a previously registered broker and investment advisor last employed with Momentum Independent Network Inc. (CRD# 17587), of Dallas Texas, where he spent his entire 31-year career. He began in the industry at Momentum in 1991. Momentum discharged Jackson on 12/9/2022 and filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on January 6, 2023. In it, Momentum listed the reason for his termination as “violation of firm policy.” No additional information was listed.  Leslie Jackson (Leslie Don Jackson CRD# 2176917) is a previously registered broker and investment advisor last employed with Momentum Independent Network Inc. (CRD# 17587), of Dallas Texas, where he spent his entire 31-year career. He began in the industry at Momentum in 1991. Continue reading ›

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