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Articles Posted in Stockbroker Misconduct

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Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020) of Tarzana, CA. He has been in the industry since 2002.  Kennedy was discharged by Western International on 8/27/2021 with cause, “Clients have alleged unauthorized options trading and failure to adhere to discretionary options sales orders.” No additional information is available. However, Kennedy’s CRD includes ten customer disputes dated from 9/10/2021 through 6/9/2022. Of the ten, seven are settled, and three are listed as “pending.” All have allegations of misconduct including improper trading and other breaches of fiduciary duty.  Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020) of Tarzana, CA. He has been in the industry since 2002.  Continue reading ›

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Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982. Ameriprise Termination And FINRA Investigation On 12/17/2021, Joughin voluntarily resigned from her employment at Ameriprise “while under review for compliance policy violations related to a fiduciary relationship.” No additional details are available. In January of 2022, Ameriprise filed a Uniform Termination Notice for Securities Industry Registration (Form U5) with FINRA listing the investigation as the reason for her departure.Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982. Continue reading ›

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Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been in the industry since 2002. In his CRD, Morrison has three currently pending customer disputes: Filed on 12/2/2022, the customer alleges “violation of Michigan Uniform Securities Act and Consumer Protection Act, unsuitable recommendations, breach of contract, common law fraud, breach of fiduciary duty and negligence.” No damages listed. Filed on 8/19/2022, the customer alleges “negligence, breach of contract, breach of fiduciary duties, failure by respondents to know their customer and unsuitable investments.” The client requests damages of $1,843,116.64. Filed on 6/14/2022. The customer alleges “failure to conduct adequate due diligence prior to making a recommendation, unsuitable recommendation, negligence, excessive trading, unauthorized trading, breach of fiduciary duty, and breach of contract. No damages listed. Morrison also has two tax liens in his CRD filed on 2/23/2023 totaling $134,496.94. No additional information is available.Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been in the industry since 2002. Continue reading ›

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Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. His other employers were Parkland Securities, LLC (CRD#:115368), Sagepoint Financial, Inc. (CRD#:133763), and H.D. Vest Investment Services (CRD#13686), also of Lebanon.  He has been in the industry since 2010. Thayer’s first dispute was filed on 11/18/2022 by a client who alleged he misappropriated $45,250 from her account from 01/02/2019 through 9/28/2022. This claim is still pending as of this writing.Patrick Thayer (Patrick Noel Thayer, CRD# 5735955) is a previously registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD# 6413) of Lebanon, OH. His other employers were Parkland Securities, LLC (CRD#:115368), Sagepoint Financial, Inc. (CRD#:133763), and H.D. Vest Investment Services (CRD#13686), also of Lebanon. He has been in the industry since 2010. Continue reading ›

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David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago.  He has been in the industry since 1996. Morris was involved in a FINRA arbitration brought by his former employer, UBS Financial Services and UBS Credit Corp. In it, UBS alleged that Morris breached ten promissory notes when he failed to repay them at the time of his termination. (No reason for termination is available, or whether it was voluntary.) Representing himself, Morris denied these allegations and filed a counterclaim. FINRA suspended Morris.David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago.  He has been in the industry since 1996. Continue reading ›

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According to FINRA Disciplinary actions for April 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
  William Casper   J.P. Morgan Securities LLC
  Kevin Chiu   J.P. Morgan Securities LLC
  Edward McMahon   Alexander Capital, L.P.
  J.P. Turner & Company, L.L.C.
  Somboun Thao   Pruco Securities, LLC
  MML Investors Services, LLC
  Patrick Thayer   LPL Financial LLC
  Parkland Securities, LLC
  Brian Wurdemann   RBC Capital Markets, LLC
  UBS Financial Services Inc.

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According to FINRA Disciplinary actions for April 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
  Christine Bourdelais   NYLife Securities LLC
  Thomas Buck   RBC Capital Markets, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc.
  Intersecurities, Inc.
  Richard Logalbo   Cetera Investment Services LLC
  MML Investors Services, LLC
  Harold Ramsey   Paulson Investment Company LLC
  Spartan Capital Securities, LLC
  Michael Rosalia   SW Financial
  Worden Capital Management LLC
  Dana Vietor   CFD Investments, Inc.
  Oakbridge Financial Services
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for April 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
  Austin Kiick   Equitable Advisors, LLC
  Isaac LaFond   Patrick Capital Markets, LLC
  IFP Securities, LLC
  Steve Moise   Joseph Stone Capital, LLC
  Spartan Capital Securities, LLC
  David Morris   Stifel, Nicolaus & Company, Incorporated
  UBS Financial Sevices Inc.

Continue reading ›

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According to FINRA Disciplinary actions for March 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
  Chrisopher Arnold   USCA Securities LLC
  Salient Capital L.P.
  Blaine Hamlett   Equitable Advisors, LLC
  Adrian London   J.P. Morgan Securities LLC
  E*Trade Securities LLC
  Yvonne Nguyen   NYLife Securities LLC
  Robert Rich   Wells Fargo Advisors Financial Network, LLC
  Wachovia Securities, LLC
  Alexandra Smith   J.P. Morgan Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenneth Wade   Cetera Advisor Networks LLC
  PFS Investments Inc.
  Khalil Watts   J.P. Morgan Securities LLC
  Willliam Williford   Morgan Stanley

Continue reading ›

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