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Articles Posted in Stockbroker Misconduct

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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.  King voluntarily resigned from Merrill Lynch on 4/21/2023 after allegations of “unsuitable and unauthorized trading in certain clients' accounts.” No additional information is available.   Since 8/17/22, a total of 19 customer disputes have been filed in King’s record, with the most recent filed on 10/15/2023. Most filed between 4/15/2023 and 10/15/2023 are currently in pending status.  Eight of the disputes were denied. Three claims filed in 2022 were settled for a collective total of $332,500.  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 ›

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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.  A customer dispute filed on 9/19/2023 alleges that from December of 2021 through November of 2022, Lesk made recommendations that were unsuitable. The client requests damages of $1,000,000, and the claim is currently “pending.”  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 ›

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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. FINRA recently barred Wilhelm following an investigation in which he failed to respond to the agency’s request for information. He was barred indefinitely on 9/5/2023. No additional information is available.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 ›

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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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