A National Securities Arbitration & Investment Fraud Law Firm
Andrew Miles (Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. Previously, he was registered with The Strategic Financial Alliance, Inc. (CRD#:126514) of Vero Beach, FL. He has been in the industry since 2011. Continue reading ›
Ron Filoramo (Ronald Ernest Filoramo CRD# 3270398) is a former broker and investment advisor last employed with Morgan Stanley (CRD# 149777) of Fort Lauderdale, FL. His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. (CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. (CRD# 14623) of Bethpage, NY. He has been in the industry since 1999. Continue reading ›
William Conn (William Joseph Conn CRD# 1477107, aka “Bill Conn”) is a currently registered broker and investment advisor with International Assets Advisory, LLC (CRD#: 10645) of San Francisco, CA. His previous employers include Raymond James & Associates, Inc. (CRD#:705, broker and investment advisor) J.P. Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. (CRD# 2525), all of San Francisco. He was both a broker and investment advisor at all three and began in the industry in 1986. Continue reading ›
According to FINRA Disciplinary actions for October 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 |
| Carl Birkelbach | Birkelbach Investment Securities, Inc. |
| Ronald Diaz | Morgan Stanley |
| J.P. Morgan Securities LLC | |
| Albert Foronda | Spartan Capital Securities, LLC |
| Worden Capital Management LLC | |
| Jorge Baquero | Spartan Capital Securities, LLC |
| Eduardo Martinez | National Securities Corporation |
| PHX Financial, Inc. |
According to FINRA Disciplinary actions for October 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 |
| Daniel Ditch | PFS Investments Inc. |
| Stephen Jones | Equitable Advisors, LLC |
| Robert Luley Jr. | Pruco Securities LLC |
| Madison Avenue Securities, LLC | |
| Jack McBride | Newbridge Securities Corporation |
| B. Riley Wealth Management | |
| Hector Negrete | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Shawn O’Connell | Morgan Stanley |
| Merrill Lynch, Pierce ,Fenner & Smith Incorporated | |
| Steven Thompson | Network 1 Financial Securities Inc. |
| SW Financial |
According to FINRA Disciplinary actions for October 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 |
| David Burch | Raymond James & Associates, Inc. |
| Morgan Stanley | |
| Timothy Claypool | Northwestern Mutual Investment Services, LLC |
| Farmers Financial Solutions, LLC | |
| Ebony Parks | LPL Financial LLC |
| Wells Fargo Clearing Services, LLC | |
| Rashawn Russell | Deutsche Bank Securities Inc. |
| Daniel Santos | PFS Investments Inc. |
According to FINRA Disciplinary actions for September 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 |
| Laurence Allen | NYPPEX, LLC |
| Northeast Securities, Inc. | |
| Joseph Desapio | Spartan Capital Securities, LLC |
| Worden Capital Management LLC | |
| DeVere Dudley | Raymond James Financial Services, Inc. |
| Edward Jones | |
| Austin Dutton Jr. | American Trust Investment Services, Inc. |
| PRIMEX | |
| Adam Ezrilov | LPL Financial LLC |
| RBC Capital Markets, LLC | |
| Samuel Girgiss | Spartan Capital Securities, LLC |
| Worden Capital Management LLC | |
| Dennis Hanrahan | Spartan Capital Securities, LLC |
| John Thomas Financial | |
| Timothy Henry | Wells Fargo Clearing Services, LLC |
| Credit Suisse Securities (USA) LLC | |
| Kenneth Klaiman | Raymond James & Associates, Inc. |
| Deutsche Bank Securities Inc. | |
| Ramon Perez | Morgan Stanley |
| UBS Financial Services Inc. | |
| David Sauer | BGC Financial, L.P. |
| Morgan Stanley | |
| Michael Schunk | NYPPEX, LLC |
| Commerce One Financial Inc. | |
| James Shelburne | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Jamie Worden | Worden Capital Management LLC |
| Salomon Whitney LLC |
According to FINRA Disciplinary actions for September 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 |
| Thomas Cole III | Charles Schwab & Co, Inc. |
| Charles Connors | LPL Financial LLC |
| Transamerica Financial Advisors, Inc. | |
| Andrew Grezlak | Cambridge Investment Research, Inc. |
| Louis No | NYLife Securities LLC |
| Chanda Park | Transamerica Financial Advisors, Inc. |
| Heron Rattray Jr. | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Merrill Richardson | Goldman Sachs & Co. LLC |
| William Blair & Company LLC | |
| William Rodriguez | |
| Jessica Wade |
According to FINRA Disciplinary actions for September 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 |
| Michael Adinovich | Ameriprise Financial Services, LLC |
| Ameriprise Advisor Services, Inc. | |
| Karla Moons | Concourse Financial Group Securities, Inc. |
| Amsouth Investment Services, Inc. | |
| Kyle Steibel | CUNA Brokerage Services, Inc. |
| Edward Jones | |
| Joseph Todaro | Network 1 Financial Securities Inc. |
| SW Financial | |
| Jin Zhu | Morgan Stanley |
| Key Investment Services LLC |
According to FINRA Disciplinary actions for August 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 |
| Dennis Ayre | Hilltop Securities Inc. |
| Oppenheimer & Co. Inc. | |
| Bruce Davis | Wells Fargo Clearing Services, LLC |
| J.P. Morgan Securities LLC | |
| Gail Milon | ELE Wealth Advisors, Inc. |
| MSI Financial Services, Inc. | |
| Trevor Perry | Foreside Financial Services, LLC |
| J.P. Morgan Institutional Investments Inc. | |
| Frank Weiss | Bankers Life Securities, Inc. |
| Farmers Financial Solutions, LLC |
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