Securities Arbitration Lawyers Blog
FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for December 2018, 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 |
| Albin, William | Waddell & Reed |
| Metlife Securities Inc | |
| Allen, David | Avenir Financial Group |
| Gunnallen Financial, Inc | |
| Boupon, Kean | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Chang, Jonathan | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Clements, Michael | Intercoastal Capital Markets, Inc |
| Avenir Financial Group | |
| Fagenson, David | UBS Financial Services Inc |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Kelly, James | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Martino, Andrew | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Miller, Frederick | Investshares |
| Ameriprise Financial Services, Inc | |
| Rodriquez, Cesar | Avenir Financial Group |
| American Trust Investments Services Inc | |
| Roth, Brian | Aeon Capital Inc |
| The Benchmark Company, LLC | |
| Sarria, Jorge | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Weinstein, Gregg | Entrustpermal Securities LLC |
| Cantor Fitzgerald & Co | |
| Yassin, Mohamed | National Securities Corporation |
| Morgan Stanley |
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Iraggi is the subject of four disclosures, the most recent a disciplinary action by FINRA, as well as one employment discharge and two denied customer disputes. In the FINRA action, filed on 8/23/2018, Iraggi failed to notify his employer firm, Garden State Securities, that he had verbal authorization to exercise discretion in three customer accounts. Iraggi did not obtain written authorization from the clients, nor written authorization from the firm to service the accounts on a discretionary basis.
There are three disclosures in Makharia’s FINRA record. Two nearly identical customer disputes were filed on 11/8/018 and 10/15/2018. Both allege “unsuitability,” and one describes but doesn’t include “several other allegations associated therewith.” Makharia denies allegations in both disputes. Both disputes are currently pending.
Mantei is the subject of eight disclosures, three of which are currently pending customer disputes, all with the allegations of “unsuitability.” The most recent were filed on 10/25/2018 and 9/28/2018, with requested damages totaling $268,238.
Silver Law Group represented the Claimant in a FINRA arbitration claim against Texas E&P Partner, Inc. and Mark Plummer. Scott Silver, managing partner of Silver Law Group, a leading securities and investment fraud law firm, said “the 
Wilson has two disclosures, both pending customer disputes that were filed this year. The first was filed on 10/24/2018, alleging “unsuitability” from 2010 through 2017. The client requests damages of $2,000,000.00.
Pariser