A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Stockbroker Misconduct

|

James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation. Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020.James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation.

Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020. Continue reading ›

|

Steven Rodemer is a barred broker last registered with Stifel, Nicholas & Company, Incorporated in Pueblo, Colorado. Rodemer’s record shows that he was barred in all capacities from associating with a FINRA member firm for refusing to cooperate with a FINRA investigation. In January, 2020, Rodemer was discharged from Stifel, Nicholas over an allegation that he made an unauthorized withdrawal from a client’ account.Steven Rodemer is a barred broker last registered with Stifel, Nicholas & Company, Incorporated in Pueblo, Colorado. Rodemer’s record shows that he was barred in all capacities from associating with a FINRA member firm for refusing to cooperate with a FINRA investigation. In January, 2020, Rodemer was discharged from Stifel, Nicholas over an allegation that he made an unauthorized withdrawal from a client’ account. Continue reading ›

|

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. Before Joining Cadaret, Grant (CRD# 10641) in 2014, Dewes was registered with Lincoln Financial Securities Corporation (CRD# 3870), Northeast Securities, Inc. (CRD# 25996), Cambridge Investment Research, Inc. (CRD# 39543), Signator Investors, Inc. (CRD# 468), John Hancock Mutual Life Insurance Company (CRD# ), Securities America, Inc. (CRD# 10205), and Thomas James Associates, Inc. (CRD# 15609). He had been in the industry since 1994.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.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.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.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.”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

Continue reading ›

|

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.

Continue reading ›

|

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.

Continue reading ›

Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Silver Law Group
JUSTIA Law Firm Blog Design