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Articles Posted in Stockbroker Misconduct

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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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Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. His previous employers include Sagepoint Financial, Inc. (CRD# 133763) of Fort Lauderdale, FL, MetLife Securities Inc. (CRD# 14251) of West Palm Beach, FL, and Metropolitan Life Insurance Company (CRD# 4095) of New York, NY.  He has been in the industry since 1988. Skrabonja’s CRD record contains seven different disclosures. The first is his discharge by Green Vista Capital. The firm discharged Skrabonja on 5/4/2023 after allegations of selling away without firm approval, meaning selling securities that were not vetted, endorsed, or sold by the firm.Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. His previous employers include Sagepoint Financial, Inc. (CRD# 133763) of Fort Lauderdale, FL, MetLife Securities Inc. (CRD# 14251) of West Palm Beach, FL, and Metropolitan Life Insurance Company (CRD# 4095) of New York, NY. He has been in the industry since 1988. Continue reading ›

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Jermaine Benjamin (CRD# 6152653, Jermaine K Benjamin, Jermaine Kahlil Benjamin) is a former registered broker and investment advisor last employed by Raymond James Financial Services, Inc. (CRD# 6694) of St. Petersburg, FL, and Pruco Securities, LLC. (CRD# 5685) of Tampa, FL. He has been in the industry since 2013. Benjamin moved from Pruco Securities to Raymond James Financial Services in July of 2020, and filed its Uniform Termination Notice of Securities Industry Registration (Form U5) at that time.  This customer dispute was filed on 5/18/22 alleging “unauthorized transactions and misappropriation/defalcation.”  Although the claim was subsequently denied, it triggered an update to the Form U5 filed by Pruco, since Benjamin had already transferred his employment to Raymond James.Jermaine Benjamin (CRD# 6152653, Jermaine K Benjamin, Jermaine Kahlil Benjamin) is a former registered broker and investment advisor last employed by Raymond James Financial Services, Inc. (CRD# 6694) of St. Petersburg, FL, and Pruco Securities, LLC. (CRD# 5685) of Tampa, FL. He has been in the industry since 2013. 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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Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. (CRD# 31029) of Hato Rey, PR. His previous employers included Oriental Financial Services Corp. (CRD# 29753) of Ponce, PR, Samuel A Ramirez & Co., Inc. (CRD# 6963) of Hato Rey, PR, and R-G Investments Corporation (CRD# 113293) of San Juan, PR. No current employment or registration information is available. He has been in the business since 2004. Padilla is the subject of 49 disclosures dating back to 2006, 47 of which are customer disputes.  Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. (CRD# 31029) of Hato Rey, PR. His previous employers included Oriental Financial Services Corp. (CRD# 29753) of Ponce, PR, Samuel A Ramirez & Co., Inc. (CRD# 6963) of Hato Rey, PR, and R-G Investments Corporation (CRD# 113293) of San Juan, PR. Continue reading ›

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Fernando Silva (CRD# 7326519) is a former registered broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Tucson, AZ. His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. He has been in the business since 2021. Morgan Stanley terminated Silva’s employment on 9/8/2022 amid concerns that had had misappropriated client funds. The firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) on 9/23/2022 with the same allegation of misappropriation. Upon receipt of the Form U5 from Morgan Stanley, FINRA began an investigation based on the information provided. On 10/14/2022 and 11/1/2022, FINRA sent requests for information to Silva regarding the investigation into the Form U5 allegations. In an email correspondence on November 14, 2022, Silva stated for the record that he would at no time provide any of the requested information.Fernando Silva (CRD# 7326519) is a former registered broker and investment advisor last employed with Morgan Stanley (CRD#:149777) of Tucson, AZ. His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. He has been in the business since 2021. Continue reading ›

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John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment Services, Inc. (CRD# 46609) of Rosemont, IL. No current employment information is available. He has been in the industry since 1988. John Terzis allegedly borrowed $200,000 from a 69-year-old client who was in ill health without notifying his employer, LPL Financial. The firm had a written policy in place regarding broker-client loans. He assisted the client in transferring funds from her brokerage account to her checking account. He provided a ten-year promissory note in exchange in December of 2019. Additionally, in a compliance questionnaire from October 2020, Terzis answered that he had not solicited loan funds from any clients, nor had he issued or participated in any promissory notes outside of the firm.John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment Services, Inc. (CRD# 46609) of Rosemont, IL. No current employment information is available. He has been in the industry since 1988. Continue reading ›

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John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. (CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. He has been in the industry since 1996. LPL Financial terminated Matson’s employment on 11/16/2022 with allegations that he neither notified nor sought approval from the firm for participating in investments that were not approved by LPL.John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. Previous employers include Ameriprise Financial Services, Inc. (CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. (CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. He has been in the industry since 1996. Continue reading ›

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Brian Wurdemann (Brian M. Wurdemann CRD#4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. His previous employers include UBS Financial Services Inc. (CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. (CRD# 7059), also of New York City.  He has been in the industry since 2000. In a FINRA arbitration action with RBC Capital Markets, the firm alleged that Wurdemann failed to repay a promissory note he entered into with the firm. The action requires Wurdemann to repay RBC in accordance with the note, which includes: $1,488,650.12, plus interest at an annual rate of 0.58% per annum ($23.65 per diem) Collection costs and expenses including reasonable attorneys’ fees “Any further relief as deemed fair and just”Brian Wurdemann (Brian M. Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. His previous employers include UBS Financial Services Inc. (CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. (CRD# 7059), also of New York City.  He has been in the industry since 2000. Continue reading ›

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