A National Securities Arbitration & Investment Fraud Law Firm
Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. (CRD# 15007) of Garden City, NY. His previous employers include National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. (CRD#:13755) of Port Washington, NY, and Oppenheimer & Co. Inc. (CRD# 249) of New York, NY. He has been in the industry since 1988. Continue reading ›
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. |
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 |
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 |
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. |
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 |
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 |
William King (William Worthen King CRD# 1432593, aka “Bill King”) is a previously registered broker and investment advisor who spent his entire 37-year career at Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Vero Beach, FL beginning in 1985. Continue reading ›
Todd Lesk (Todd Michael Lesk CRD# 2788300) is a former registered broker and investment advisor most recently employed with Cambridge Investment Research, Inc. (CRD# 39543) of Coral Springs, FL. His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale, and Middlebury Securities LLC(CRD#122602) of Boca Raton. He has been in the industry since 1997. Continue reading ›
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 ›
Securities Arbitration Lawyers Blog