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Articles Posted in Selling away

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Masood Azad (Masood Husain Azad, CRD# 4798445) is a barred broker last registered with First Allied Securities, Inc. (CRD# 32444) in League City, Texas. He was previously registered with Voya Financial Advisors, Inc. (CRD# 2882). He had been in the industry since 2004.  Masood Azad Disclosures  Masood Azad has 5 disclosures on his publicly-available FINRA BrokerCheck report, including 3 customer disputes, 1 regulatory disclosure, and 1 employment separation after allegations:Masood Azad (Masood Husain Azad, CRD# 4798445) is a barred broker last registered with First Allied Securities, Inc. (CRD# 32444) in League City, Texas. He was previously registered with Voya Financial Advisors, Inc. (CRD# 2882). He had been in the industry since 2004.

Masood Azad Disclosures

Masood Azad has 5 disclosures on his publicly-available FINRA BrokerCheck report, including 3 customer disputes, 1 regulatory disclosure, and 1 employment separation after allegations: Continue reading

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James Daughtry (James Blake Daughtry, CRD# 3272282) is a currently-barred broker who last worked for Kestra Investment Services, LLC in Dothan, Alabama.  Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. He had been in the industry from 1999-2020.James Daughtry (James Blake Daughtry, CRD# 3272282) is a currently-barred broker who last worked for Kestra Investment Services, LLC in Dothan, Alabama.

Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. He had been in the industry from 1999-2020. Continue reading

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John Krohn (John Michael Krohn CRD#2722975) is a formerly registered broker who worked for Principal Securities, Inc. (CRD# 1137) at their West Des Moines, Iowa branch office. He had been in the securities industry since 1996.  According to his CRD report, Mr.Krohn was a board member of Domiknow and Spotlight Innovation, Inc since 2015.  Krohn was also the managing member of Cash Flow Structure Group in Des Moines, Iowa.  John Krohn Selling Away Claims    John Krohn has 6 disclosures on his publicly-available FINRA BrokerCheck report, including 5 customer disputes and 1 regulatory disclosure:  April, 2020: A dispute alleged that “the firm failed to supervise John Krohn's private securities transactions and dealings with claimants, is liable for Mr. Krohn's misconduct and claimant's losses.” $10,000,000 in damages are requested, and the dispute is pending as of this writing.John Krohn (John Michael Krohn CRD#2722975) is a formerly registered broker who worked for Principal Securities, Inc. (CRD# 1137) at their West Des Moines, Iowa branch office. He had been in the securities industry since 1996. According to his CRD report, Mr.Krohn was a board member of Domiknow and Spotlight Innovation, Inc since 2015.  Krohn was also the managing member of Cash Flow Structure Group in Des Moines, Iowa.

John Krohn Selling Away Claims  

John Krohn has 6 disclosures on his publicly-available FINRA BrokerCheck report, including 5 customer disputes and 1 regulatory disclosure:

April, 2020: A dispute alleged that the firm failed to supervise John Krohn’s private securities transactions and dealings with claimants, is liable for Mr. Krohn’s misconduct and claimant’s losses.” $10,000,000 in damages are requested, and the dispute is pending as of this writing. Continue reading

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Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691).Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691).

Silver Law Group represents investors in arbitration claims against UBS Financial Services. Our Florida investment fraud attorneys can represent you on a contingency fee basis. Continue reading

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James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. FINRA barred James Anderson from working in the securities industry after he failed to provide FINRA with documents and information during an investigation into allegations that he “engaged in the purchase and sale of securities away from his member firm, without the knowledge or approval of the firm.”James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. Continue reading

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Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. His previous employer was FMSBONDS, INC. (CRD#:7793), of North Miami Beach, FL. No current employment information is available. He has been in the industry since 2016.Merrill Lynch discharged Hellman on 9/20/2018 after he was found to be selling away (selling products not sold or endorsed by the firm) and failing to disclose outside business activities he was involved in while employed.Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. His previous employer was FMSBONDS, INC. (CRD#:7793), of North Miami Beach, FL. No current employment information is available. He has been in the industry since 2016.

Merrill Lynch discharged Hellman on 9/20/2018 after he was found to be selling away (selling products not sold or endorsed by the firm) and failing to disclose outside business activities he was involved in while employed. Continue reading

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Back in August, we told you about Bradley Joseph Tennison (CRD#: 156988), who was barred by FINRA after his discharge from Genos Wealth Management of Mesa, AZ. Tennison was discharged for “selling away,” the practice of offering and selling securities that are not offered by the broker’s firm of employment. The firm was unable to locate any records of these investments, and Tennison was not completely cooperative.A new customer dispute was filed on 10/19/2018, alleging that Tennison recommended to the client that he sell his investments in order to invest in a private placement trust that Tennison managed. Tennison also did not disclose to the customer that he was strictly prohibited from recommending these kinds of investments without review and the express approval from Genos. This allegation led to his discharge from Genos in April of 2018. This customer requests damages of $1,200,000. The case is currently pending.Back in August, we told you about Bradley Joseph Tennison (CRD#: 156988), who was barred by FINRA after his discharge from Genos Wealth Management of Mesa, AZ. Tennison was discharged for “selling away,” the practice of offering and selling securities that are not offered by the broker’s firm of employment. The firm was unable to locate any records of these investments, and Tennison was not completely cooperative.

A new customer dispute was filed on 10/19/2018, alleging that Tennison recommended to the client that he sell his investments in order to invest in a private placement trust that Tennison managed. Tennison also did not disclose to the customer that he was strictly prohibited from recommending these kinds of investments without review and the express approval from Genos. This allegation led to his discharge from Genos in April of 2018. This customer requests damages of $1,200,000. The case is currently pending. Continue reading

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Have-You-Invested-Money-with-William-“Billy”-Nelson-and-Lost-300x200Silver Law Group is investigating claims against brokers and financial advisors who committed misconduct in Boca Raton, Florida and the surrounding area.

Boca Raton is located in Palm Beach County, Florida on the east coast of the state. The city is located less than 50 miles away from Miami and less than 20 miles away from Silver Law Group offices. As of July 2015, Boca Raton’s estimated population is just over 93,000.

Boca Raton is home to the main campus of Florida Atlantic University, also known as FAU. Additionally, major supplier of office products and services Office Depot has its global headquarters in Boca Raton.

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iStock-492125706-300x200Silver Law Group is investigating claims against brokers and financial advisors who committed securities misconduct in Orlando, Florida and the surrounding area.

Orlando is located in Orange County, Florida and has a population of just under 2.5 million as of July 2015, the third-largest metropolitan area in Florida.

Orlando is also known as the “Theme Park Capital of the World,” featuring numerous high-profile theme parks such as Disney’s Magic Kingdom, Disney’s Epcot, Universal Studios, and Seaworld. In fact, the theme parks attracted over 66 million visitors to Orland in 2015 alone.

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Florida-Broker-Peter-Gouzos-Banned-by-FINRA-300x206Silver Law Group is investigating claims against brokers and financial advisors who committed securities misconduct in Tampa, Florida and the surrounding area.

Tampa is located in Hillsborough County, Florida. It is located on the west coast of Florida on the Tampa Bay near the Gulf of Mexico. As of July 2015, Tampa’s population is estimated to be 369,075. Tampa is part of the Tampa Bay Metropolitan area, which consists of St. Petersburg and Clearwater.

Tampa features numerous attractions such as the Tampa Bay Lightning, the Tampa Bay Buccaneers, the theme park Busch Gardens, the Florida Aquarium, and crystal blue gulf beaches.

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