A National Securities Arbitration & Investment Fraud Law Firm
Gerald Dewes is a barred broker last registered with Cadaret, Grant & Co. in East Amherst, NY. Dewes’ record shows that in March, 2020 he was indefinitely barred from associating with a FINRA member firm in all capacities for failing to cooperate with an investigation related to a selling away allegation. Continue reading ›
Imran Razvi is a former broker who was last registered with Lincoln Financial Securities Corporation in Frederick, Maryland. Razvi was suspended by FINRA in 2020 after he consented to an entry of findings that he engaged in outside business activity that his member firm did not approve of.
Before starting at Lincoln Financial Securities Corporation (CRD# 3870) in 2017, Razvi was registered with The O.N. Equity Sales Company (CRD# 2936), Park Avenue Securities LLC (CRD# 46173), NY Life Securities LLC (CRD# 5167), and Mutual of Omaha Investor Services, Inc. (CRD# 611). He had been in the industry since 1998. Razvi owned and did business as Higher Ground Financial Group in Maryland. Continue reading ›
Felix Chu (Felix S Chu CRD# 2427593) is a barred broker last registered with NYLife Securities in Pleasant Hill, California. FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information.
Chu’s publicly-available FINRA BrokerCheck report shows that he has been registered with NYLife Securities his whole career, from 1994 until his barring in 2019. Continue reading ›
Paul Weiss is a currently suspended broker who was last registered with Mora WM Securities in Miami, Florida. Weiss was suspended by FINRA after findings that he allegedly engaged in undisclosed outside business activities. According to Paul Weiss’ record, he was involved with West Hills Real Estate Fund in Miami, Florida.
Silver Law Group, winner of the 2020 South Florida Legal Guide top Securities Law Firm, represents investors in claims for securities and investment fraud including allegations of selling away, undisclosed business activity and other claims when stockbrokers fail to follow best practices. Continue reading ›
David Weisberg is a currently suspended broker who was last registered with Worden Capital Management LLC in New York, New York. Weisberg was suspended by FINRA for findings that he “engaged in excessive and unsuitable trading in the account of an elderly customer.”
Before working at Worden Capital Management LLC (CRD# 148366), Weisberg worked at Legend Securities, Inc. (CRD# 44952, expelled), First Midwest Securities, Inc. (CRD# 21786), JHS Capital Advisors, Inc. (CRD# 112097), Fordham Financial Management, Inc. (CRD# 20996), and John Thomas Financial (CRD# 40982, expelled). He had been in the industry since 2009. Continue reading ›
According to FINRA Disciplinary actions for June 2020, 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 |
| Eric Barbour | Wells Fargo Clearing Services, LLC |
| J.P. Morgan Securities LLC | |
| David Cannata | Craig Scott Capital, LLC |
| Brookstone Securities, Inc. | |
| Mark Garfinkel | Oppenheimer & Co. Inc. |
| Raymond James & Associates, Inc. | |
| Jeffrey Hill | Wells Fargo Advisors |
| Dougherty & Company LLC | |
| Tracy Kirby | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| David Moxom | UBS Financial Services Inc. |
| Wells Fargo Advisors, LLC | |
| Brent Porges | Meyers Associates, L.P. |
| Newbridge Securities Corporation | |
| David Schrank | MML Investors Services, LLC |
| Bankers Life Securities, Inc. | |
| Stephen Seglund | Kestra Investment Services, LLC |
| LPL Financial LLC | |
| Kenneth Vaishville | Cantella & Co, Inc. |
| Global Capital Strategies |
According to FINRA Disciplinary actions for June 2020, 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 |
| Joanna Abdelhadi | Wells Fargo Clearing Services, LLC |
| Credit Suisse Securities LLC | |
| Kenneth Butschek | ProEquities, Inc. |
| Securities Management & Research, Inc. | |
| Nathaniel Clay | Laidlaw & Company (UK) Ltd |
| National Securities Corporation | |
| Alan Lau | Wells Fargo Clearing Services, LLC |
| Wells Fargo Investments, LLC | |
| Scott Levine | Craft Capital Management LLC |
| PHX Financial, Inc. | |
| Stefano Listella | J.P. Morgan Securities LLC |
| Great Point Capital, LLC | |
| Stanley Martin | Allstate Financial Services, LLC |
| H&R Block Financial Advisors, Inc. | |
| Scott Mason | Voya Financial Advisors, Inc. |
| LPL Financial LLC | |
| Jon Scheier | Edward Jones |
| Scott Snelling | Kestra Investment Services, LLC |
| National Planning Corporation | |
| Elizabeth Sollars | Allstate Financial Services, LLC |
| Marc Winters | Wedbush Securities Inc. |
| UBS Financial Services Inc. |
According to FINRA Disciplinary actions for June 2020, 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 |
| Timothy Crowley | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Christian Evans | Morgan Stanley |
| Highland Capital Funds Distributor, Inc. | |
| Randy Jackson | Merrill Lynch, Pierce, Fenner & Smith Inc |
| E*Trade Securities LLC | |
| Fernando Landicho | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Grizelle Perez | USC Securities LLC |
| Sanders Morris Harris LLC | |
| John Wyshak | Raymond James & Associates, Inc. |
| Wedbush Securities Inc. |
According to FINRA Disciplinary actions for July 2020, 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 |
| Robert Cacioppo | MML Investors Services, LLC |
| NYLIfe Securities LLC | |
| Michael Davis | Allied Millennial Partners, LLC |
| Syren Capital Advisors | |
| David Del Rio | LPL Financial LLC |
| SunTrust Investment Services, Inc. | |
| Mary Beth Frassetto | Thrivent Investment Management Inc. |
| Megan Hoffman | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Jody Pullium | Allstate Financial Services, LLC |
| PNC Investments | |
| Ana Rivera | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors, LLC | |
| George Schmidt, Jr. | Lincoln Financial Advisors Corporation |
| Hornor, Townsend & Kent, Inc. | |
| Kevin Williams | Lucia Securities, LLC |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for July 2020, 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 |
| Thomas Ambrose | Ambrose Wealth Management |
| Cambridge Investment Research, Inc. | |
| Matthew Beaver | Grit Wealth Management, LLC |
| Ameriprise Financial Services, Inc. | |
| Neal Carlson | Forthright Family Wealth Advisory LLC |
| Wells Fargo Clearing Services, LLC | |
| Karl Foust, Jr. | H.D. Vest Investment Services |
| GunnAllen Financial, Inc. | |
| Ryan Kaufman | Securities America, Inc. |
| Woodbury Financial Services, Inc. | |
| Henry Osorio, Jr. | Westrock Advisors, Inc. |
| S.W. Bach & Company | |
| Damion Smith | Great Gable Wealth Management |
| Morgan Stanley | |
| Walter Taylor, Jr. | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors LLC | |
| Howard Walzer | BB&T Securities, LLC |
| UBS Financial Services Inc. | |
| Xianyu Yu Zhang | Wells Fargo Clearing Services, LLC |
| LPL Financial LLC |
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