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Michael Raineri (Michael Patrick Raineri CRD# 4817558) is a former broker and investment advisor whose last employer was Securities America, Inc. (CRD# 10205) of Seattle, WA. His previous employers were KMS Financial Services, Inc. (CRD# 3866), Cetera Advisors LLC (CRD# 10299) and Pacific West Securities, Inc. (CRD# 6390), all of Seattle. He has been in the industry since 2006. On 1/31/2023, a customer filed a dispute claiming that Raineri transferred $135,000 into his own personal account without the customer’s consent. This claim is currently listed as “pending.” Securities America Inc. (SAI) discharged Raineri on 4/6/2023, with the reasons for termination as: “The Financial Professional failed to follow firm policies, including being named as POA for customers' bank accounts and engaging in financial transactions with a customer for payment processing for personal services customer received from third parties without prior request or approval by the Firm.” Michael Raineri (Michael Patrick Raineri CRD# 4817558) is a former broker and investment advisor whose last employer was Securities America, Inc. (CRD# 10205) of Seattle, WA. His previous employers were KMS Financial Services, Inc. (CRD# 3866), Cetera Advisors LLC (CRD# 10299) and Pacific West Securities, Inc. (CRD# 6390), all of Seattle. He has been in the industry since 2006. Continue reading ›

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William Winchester (William Forrest Winchester III CRD# 4404327, aka “Bill Woods”) is a former registered broker and investment advisor whose last employer was Cadaret, Grant & Co., Inc. (CRD# 10641) of Chattanooga, TN. His previous employers include Raymond James Financial Services, Inc. (CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust Investment Services, Inc. (CRD# 17499) also of Chattanooga.  He has been in the industry since 2001. Raymond James terminated Winchester on 2/20/2020 after the discovery that he had engaged in three “loan arrangements”—two personal and one business. One loan included a promissory note that was related to his role as an executor for the estate of the client’s father. He then went to Cadaret. Following the termination by Raymond James, on 6/11/2020, the Tennessee Securities Division fined Winchester $45,000 and required him to “Comply with the Tennessee Securities Act of 1980, complete five FINRA training courses, and be on heightened supervision for three years.”William Winchester (William Forrest Winchester III CRD# 4404327, aka “Bill Woods”) is a former registered broker and investment advisor whose last employer was Cadaret, Grant & Co., Inc. (CRD# 10641) of Chattanooga, TN. His previous employers include Raymond James Financial Services, Inc. (CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust Investment Services, Inc. (CRD# 17499) also of Chattanooga.  He has been in the industry since 2001. Continue reading ›

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Silver Law Group represents victims of Philip Riposo on a contingency fee basis. Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. (CRD#:10205) of Lavista, NE. He has been in the industry since 1973.Silver Law Group represents victims of Philip Riposo on a contingency fee basis. Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. (CRD#:10205) of Lavista, NE. He has been in the industry since 1973. Continue reading ›

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Ahmed Gheith (Ahmed Ghassan Gheith, CRD# 5783957, aka Andy Gheith, Anthony Gheith) is a currently registered broker employed with Ceros Financial Services, Inc. (CRD# 37869) of Staten Island, NY. His previous employers include Noble Capital Markets, Inc. (CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. (CRD# 15007), all of New York, NY. He has been in the industry since 2010. While at Paulson Investment, A customer filed a dispute against Gheith on 4/13/2017, alleging fraud, negligent representations, negligence and unjust enrichment. The client requested damages of $1M, and the claim was settled for $165,000. Gheith responded that this claim was withdrawn and the claim settled by the firm without any financial contribution from him. Paulson then discharged Gheith on 08/11/2017 for this customer-submitted arbitration, along with “violations of firm WSPs, failure to provide honest answers on annual questionnaires, violations of FINRA Rule 3280.”Ahmed Gheith (Ahmed Ghassan Gheith, CRD# 5783957, aka Andy Gheith, Anthony Gheith) is a currently registered broker employed with Ceros Financial Services, Inc. (CRD# 37869) of Staten Island, NY. His previous employers include Noble Capital Markets, Inc. (CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. (CRD# 15007), all of New York, NY. He has been in the industry since 2010. Continue reading ›

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Silver Law Group is investigating banks TCF Financial and Huntington Bancshares Inc. (HBAN) for potential violations of the federal securities laws. If you bought or acquired shares of Huntington Bancshares (HBAN), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 for a no-cost consultation. TCF Financial, Huntington Bancshares Merge In 2021 TCF Financial merged into Columbus, Ohio-headquartered Huntington Bancshares in a $22 billion deal to become the second-biggest bank in Michigan with 300 offices. They are also a top 25 bank in the U.S with $143 billion total deposits and $174 billion in assets.Silver Law Group is investigating banks TCF Financial and Huntington Bancshares Inc. (HBAN) for potential violations of the federal securities laws.

If you bought or acquired shares of Huntington Bancshares (HBAN), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 for a no-cost consultation. Continue reading ›

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According to FINRA Disciplinary actions for May 2023, 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
  Albert Foronda   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Mark Miranda   Spartan Capital Securities, LLC
  Network 1 Financial Securities, Inc.
  Yvonne Nguyen   NYLIFE Securities LLC
  Alexandra Smith   J.P. Morgan Securities, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kenneth Wade   Cetera Advisors Networks LLC
  PFS Investments Inc.

Continue reading ›

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According to FINRA Disciplinary actions for May 2023, 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
  Damian Baird   Moors & Cabot, Inc.
  Morgan Stanley
  Bridget Fernandez   Ultimate Financial Investments, LLC
  UBS Financial Services Inc.
  Rajesh Gupta   Morgan Stanley
  J.P. Morgan Securities LLC
  Donald Smith   Provident Private Capital Partners, Inc.
  Vestax Securities Corporation
  Brian Wurdemann   RBC Capital Markets, LLC
  UBS Financial Services Inc.

Continue reading ›

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According to FINRA Disciplinary actions for May 2023, 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
  Michael Cutrone   Neuberger Berman BD LLC
  Ronald Diaz   Morgan Stanley
  J.P. Morgan Securities LLC
  Mulan Greenway
  Joshua Lovings
  Josette Santos   Wells Fargo Clearing Services, LLC
  Harold Stephenson   LPL Financial LLC
  Herrmann Securities, Inc.

Continue reading ›

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Matthew Boehm (Matthew John Boehm CRD# 4418029) is a registered broker and investment advisor currently employed with Woodbury Financial Services, Inc. (CRD# 421) of East Peoria, IL. He was previously employed with Lion Street Advisors, LLC (CRD# 167610 as an investment advisor), and also of East Peoria, and Lion Street Financial, LLC (CRD# 165828, as a broker) of Peoria, and Woodbury Financial Services, Inc. (CRD# 421 as a broker and investment advisor) of Bonita Springs, FL. He has been both a broker and investment advisor throughout his career, which began in 2003. Boehm has only one disclosure in this CRD, a recently filed customer dispute which is currently pending. Filed on 1/31/2023, the client is requesting damages of $75,000. The customer alleges they  purchased GWG Holding’s now-defunct L-Bonds from Boehm. In August of 2022, she filed a securities arbitration, claiming that while at Lion Street Financial he sold her these L-Bonds. In the arbitration, she alleged misrepresentation and failure to supervise the suitability of GWG L-bonds. Lion Street Financial has sought to implead Boehm—bring him into the case—allegedly to settle the claim.Matthew Boehm (Matthew John Boehm CRD# 4418029) is a registered broker and investment advisor currently employed with Woodbury Financial Services, Inc. (CRD# 421) of East Peoria, IL. He was previously employed with Lion Street Advisors, LLC (CRD# 167610 as an investment advisor), and also of East Peoria, and Lion Street Financial, LLC (CRD# 165828, as a broker) of Peoria, and Woodbury Financial Services, Inc. (CRD# 421 as a broker and investment advisor) of Bonita Springs, FL. He has been both a broker and investment advisor throughout his career, which began in 2003. Continue reading ›

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Damian Baird (Damian Mark Baird CRD# 3097243) is a previously registered broker and investment advisor most recently employed with Moors & Cabot, Inc. (CRD# 594) of Boston, MA. His previous employers include Morgan Stanley (CRD# 149777) of Williamsville, NY, UBS Financial Services Inc.   (CRD# 8174) of Buffalo, NY, and HSBC Securities (USA) Inc. (CRD# 19585) of Depew, NY.  He has been in the industry since 1998. FINRA Arbitration Involving Damian Baird Baird was suspended by FINRA following an arbitration proceeding in January of 2023 brought by his previous employer, Morgan Stanley, who alleged that he had failed to repay three notes totaling $888,403.12. FINRA requested documents and information, which Baird failed to produce. He also failed to attend the evidentiary hearing conducted via videoconference.

Damian Baird (Damian Mark Baird CRD# 3097243) is a previously registered broker and investment advisor most recently employed with Moors & Cabot, Inc. (CRD# 594) of Boston, MA. His previous employers include Morgan Stanley (CRD# 149777) of Williamsville, NY, UBS Financial Services Inc.   (CRD# 8174) of Buffalo, NY, and HSBC Securities (USA) Inc. (CRD# 19585) of Depew, NY.  He has been in the industry since 1998. Continue reading ›

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