A National Securities Arbitration & Investment Fraud Law Firm
A growing trend in the brokerage industry is for financial advisers to offer their customers access to pre-IPO “deals”. Often, investors are promised “inside access” to invest in start-ups or even well-known companies before the initial public offerings (“IPOs”), but in reality investors are just investing in some sort of venture or company that promises to acquire the pre-IPO shares. Continue reading ›
According to FINRA Disciplinary actions for May 2021, 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 |
| Scott Kaufman | Vanguard Marketing Corporation |
| LPL Financial LLC | |
| Thomas Marino | R.M. Stark & Co, Inc |
| J.W. Cole Financial, Inc. | |
| Thomas Rohan | Woodstock Financial Group |
| AXA Advisors, LLC | |
| John Schmidt | Wells Fargo Advisors Financial Network, LLC |
| Stifel, Nicholas, & Company Incorporated | |
| Christopher Wright | LPL Financial LLC |
| Private Advisor Group, LLC |
According to FINRA Disciplinary actions for May 2021, 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 |
| Samantha Beasley | Wells Fargo Clearing Services, LLC |
| Annie Boghossian | J.P. Morgan Securities LLC |
| Lawrence Ehren | Landolt Securities, Inc. |
| Oberweis Securities, Inc. | |
| Michael Goonan | Equitable Advisors, LLC |
| Park Avenue Securities LLC | |
| Eileen Kenny | LPL Financial LLC |
| Private Advisor Group, LLC | |
| Norma Kuklis | |
| William Kursim | Fidelity Brokerage Services LLC |
| National Financial Services LLC | |
| John Margain | State Farm VP Management Corp. |
| Hector Mejia | ADP Broker-Dealer, Inc. |
| Curtis Smiley | Primex |
| Sandlapper Securities, LLC | |
| Michael Swenson | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Piper Jaffray & Co. | |
| Joseph Switzer Sr. | Fidelity Brokerage Services LLC |
| Joseph Valenti | Newbridge Securities Corporation |
| Reid & Rudiger LLC |
According to FINRA Disciplinary actions for May 2021, 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 |
| Ryan Callahan | State Farm VP Management Corp. |
| James Childress | LPL Financial LLC |
| Securities Service Network, Inc. | |
| Nayely Gamez | Wells Fargo Clearing Services, LLC |
| Jorge Guzman | Pruco Securities, LLC |
| Yonay Perez | Wells Fargo Clearing Services, LLC |
| Richard Ramos | Wells Fargo Clearing Services, LLC |
| Dwight Sulc | B.B. Graham & Company, Inc. |
| PFS Investments Inc. |
According to FINRA Disciplinary actions for April 2021, 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 |
| Tracy Adams | Avantax Investment Services, Inc. |
| Ameriprise Financial Services, Inc. | |
| Jason Anderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| LPL Financial LLC | |
| Solomon Apprey | Pruco Securities, LLC |
| AXA Advisors, LLC | |
| Ronald Bartsch | Union Capital Company |
| Liberty Partners Financial Services, LLC | |
| Spyridon Chandrinos | Millennium Advisors, LLC |
| Nelson Polun | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Jeffrey Sandwell | LPL Financial LLC |
| National Planning Corporation | |
| Jon Scheier | Edward Jones |
According to FINRA Disciplinary actions for April 2021, 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 Arnold | Voya Financial Advisors, Inc. |
| LPL Financial LLC | |
| Zachary Bader | National Securities Corporation |
| Craig Scott Capital, LLC | |
| Peter Brown | Oppenheimer & Co. Inc. |
| Bear, Stearns & Co. Inc. | |
| Riza Hernandez | Lincoln Financial Securities Corporation |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for April 2021, 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 |
| Adam Belardino | MML Investors Services, LLC |
| MSI Financial Services, Inc. | |
| Trent Drake | Cambridge Investment Research, Inc. |
| Pacer Financial, Inc. | |
| Nathaniel Eklund | J.P. Morgan Securities LLC |
| Geneos Wealth Management, Inc. | |
| Idean Esfahani | Wells Fargo Clearing Services, LLC |
| Adam Feierstein | Proequities, Inc. |
| Woodbury Financial Services, Inc. | |
| Ngonidzashe Parirenyatwa | Wells Fargo Clearing Services, LLC |
| Planco Financial Services, LLC | |
| Laquita Pettis | Wells Fargo Clearing Services, LLC |
| George Stills Jr. | Securian Financial Services, Inc. |
| AXA Advisors, LLC | |
| Tim Viohl | U.S. Bancorp Investments, Inc. |
| LPL Financial LLC |
According to FINRA Disciplinary actions for March 2021, 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 |
| Christian Evans | Morgan Stanley |
| Highland Capital Funds Distributor, Inc. | |
| Mark Grenier | David Lerner Associates, Inc. |
| Maxim Group LLC | |
| Harry Lum Jr. | Horace Mann Investors, Inc. |
| Allstate Financial Services, LLC | |
| Dorinda Lumpkin | BBVA Securities Inc. |
| Timothy Melvin | Horace Mann Investors, Inc. |
According to FINRA Disciplinary actions for March 2021, 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 |
| Jason Allen | Wells Fargo Clearing Services, LLC |
| Morgan Stanley | |
| Carl Birkelbach | Birkelbach Investment Securities, Inc. |
![Mark Hopkins (Mark Lewton Hopkins CRD#: 2653473) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018. Hopkins worked in the industry since the 1990s. Hopkins also did business under the name Worklife Wealth Management. Hopkins’ BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA) contains several recent disclosures, including two customer disputes, a regulatory action initiated by FINRA, as well as a Complaint filed by the United States Securities and Exchange Commission (SEC). Hopkins Was Permitted To Resign From His Position At American Portfolios Financial Services, Inc. Hopkins’ FINRA BrokerCheck Report reveals that in December 2018, Hopkins was permitted to resign amid allegations that he “accepted customers funds for an investment not on the books of the [broker-dealer] without obtaining pre-approval.”](https://www.silverlaw.com/blog/wp-content/uploads/2021/05/Mark-Hopkins.jpg)
Mark Hopkins (Mark Lewton Hopkins CRD#: 2653473) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018. Hopkins worked in the industry since the 1990s. Hopkins also did business under the name Worklife Wealth Management. Continue reading ›
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