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According to FINRA Disciplinary actions for February 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
  Tracy Adams   Ameriprise Financial Services, LLC
  IDS Life Insurance Company
  Ronald Bartsch   Union Capital Company
  Liberty Partners Financial Services, LLC
  Lynn Cawthorne   Cambridge Investment Research, Inc.
  Investment Professionals, Inc.
  Jorge Guzman   Pruco Securities, LLC
  Nelson Polun   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Richard Ramos   Wells Fargo Clearing Services LLC
  Curtis Smiley   Primex
  Sandlapper Securities, LLC
  David Stateman   Allstate Financial Services, LLC
  AXA Advisors, LLC
  Dwight Sulc   B.B. Graham & Company, Inc.
  PFS Investments Inc.
  Alon Zak   Pruco Securities, LLC
  MML Investors Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for February 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
  Spyridon Chandrinos   Millennium Advisors, LLC
  Chelsea Flohr   J.P. Morgan Securities LLC
  Jon Foster   Wells Fargo Clearing Services, LLC
  Caleb Hutzler   LPL Financial LLC
  Northwestern Mutual Investment Services, LLC
  Narongdej Jaroensabphayanont   Voya Financial Advisors, Inc.
  Intersecurities, Inc.
  Aaron Pierett   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wells Fargo Clearing Services, LLC

Continue reading ›

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John Timberlake (John Hillman Timberlake CRD# 2109445) is a previously registered broker and investment adviser who was last registered with Carter, Terry & Company, Inc in Atlanta, Georgia. Before joining Carter, Terry & Company, Timberlake worked for Suntrust Investment Services, Inc. John Timberlake Disclosures John Timberlake has 6 disclosures on his publicly-available FINRA BrokerCheck report, including 4 customer disputes, 1 regulatory disclosure, and 1 employment separation after allegations disclosure: November, 2020: A regulatory disclosure initiated by FINRA resulted in Timberlake being suspended for four month and fined $10,000. “Timberlake consented to the sanctions and to the entry of findings that he used his personal cellular phone to exchange numerous business and securities related text messages with customers without providing copies to his member firms, thereby preventing the firms from preserving the communications. The findings stated that Timberlake confirmed orders, communicated regarding specific securities and related news, and texted the customers information about their profits and losses. The findings also stated that Timberlake sent text messages to a customer that included promissory, exaggerated, unwarranted, and misleading statements.”John Timberlake (John Hillman Timberlake CRD# 2109445) is a previously registered broker and investment adviser who was last registered with Carter, Terry & Company, Inc in Atlanta, Georgia. Before joining Carter, Terry & Company, Timberlake worked for Suntrust Investment Services, Inc. Continue reading ›

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Michael Shillin (Michael Francis Shillin CRD# 5927156) is a barred broker who was last registered with A.G.P/Alliance Global Partners in Altoona, Wisconsin. Before working for A.G.P., Shillin was registered with Raymond James Financial Services and Edward Jones. Michael Shillin Disclosures and Wisconsin Finra Arbitration Claims Michael Shillin is the subject of 20 disclosures on his publicly-available BrokerCheck report, which includes 15 customer disputes (all but one of which are pending), 1 regulatory disclosure, 1 investigation initiated by the FINRA Department of Enforcement, and 3 disputes regarding employment separation after allegations: February, 2021: A customer dispute states that Shillin “recommended an IRA rollover that caused a taxable event, and that Mr. Shillin charged management fees that were higher than the amount that had been agreed upon. Client also stated that Mr. Shillin told him that he owned pre-IPO shares of SpaceX and Palantir, although it does not appear that the client ever purchased those shares. Further, client stated that Mr. Shillin lied about creating a living trust for him.” $5,000 in damages are requested, and the dispute is pending as of this writing.

Michael Shillin (Michael Francis Shillin, CRD# 5927156) is a barred broker who was last registered with A.G.P/Alliance Global Partners in Altoona, Wisconsin. Before working for A.G.P., Shillin was registered with Raymond James Financial Services and Edward Jones. Continue reading ›

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David Karandos (David Michael Karandos CRD# 1934119), a previously-registered broker and investment adviser who last worked for Dinosaur Financial Group, LLC in Indianapolis, Indiana, is the subject of multiple customer disputes. Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. David Karandos Disclosures David Karandos is the subject of 12 disclosures on his publicly-available BrokerCheck report, which includes 6 customer disputes, 2 regulatory, 2 judgment/lien, 1 financial, and 1 criminal: November, 2020: A customer dispute alleged that “Karandos placed client in unsuitable investments from 2014 to 2018 and improperly withdrew funds from other family accounts from 2016 to 2018.” $436,000 in damages were requested and the dispute is pending as of this writing.David Karandos (David Michael Karandos CRD# 1934119), a previously-registered broker and investment adviser who last worked for Dinosaur Financial Group, LLC in Indianapolis, Indiana, is the subject of multiple customer disputes. Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. Continue reading ›

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Ryan Raskin (Ryan Ashley Raskin CRD# 5539610) is a former registered broker and investment advisor was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#7691) in Beverly Hills, California from 2016-2020. Raskin previously worked with Morgan Stanley in Woodland Hills, California from 2009-2016. In March 2020, Raskin was discharged from Merrill Lynch following allegations of “business practices inconsistent with Firm standards, including inappropriate investment recommendations.” Following Raskin’s Termination From Merrill Lynch, FINRA Investigates According to the Financial Industry Regulatory Authority (FINRA), after Merrill Lynch reported Raskin’s discharge, FINRA started an investigation that included sending requests for production of information and documents to Raskin. Raskin did not respond to these requests. FINRA’s Letter of Acceptance, Waiver, and Consent with Raskin (AWC), states that Raskin acknowledged receipt of the requests, but “stated that he did not intend to respond . . .”. Failure to produce information and documents in response to FINRA’s request is a violation of FINRA Rules.  As a result, Raskin consented to a permanent bar from associating with any FINRA member in all capacities. Ryan Raskin (Ryan Ashley Raskin CRD# 5539610) is a former registered broker and investment advisor was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#7691) in Beverly Hills, California from 2016-2020. Raskin previously worked with Morgan Stanley in Woodland Hills, California from 2009-2016. Continue reading ›

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Investment firm Infinity Q Capital Management LLC has halted investor redemptions following the discovery of potentially serious valuation issues. According to a recent article published in the Wall Street Journal, the firm’s Chief Investment Officer has been banned from trading following discovery of potential misconduct relating to valuation of the firm’s net asset value (NAV). The New York City-based firm, which has about $3 billion in assets under management, requested that the Securities and Exchange Commission suspend redemptions. Investors in two of Infinity Q’s funds, Infinity Q Diversified Alpha Fund Institutional Class (NASDAQ: IQDNX) and Infinity Q Diversified Alpha Fund Investor Class (NASDAQ: IQDAX), have become increasingly concerned after this information was disclosed, as it may reflect serious issues with the value of their investments in Infinity Q’s funds.Investment firm Infinity Q Capital Management LLC has halted investor redemptions following the discovery of potentially serious valuation issues. According to a recent article published in the Wall Street Journal, the firm’s Chief Investment Officer has been banned from trading following discovery of potential misconduct relating to valuation of the firm’s net asset value (NAV). The New York City-based firm, which has about $3 billion in assets under management, requested that the Securities and Exchange Commission suspend redemptions. Continue reading ›

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Scott Silver, Silver Law Group’s managing partner, was interviewed for a CNBC article about the GameStop (GME) bull who is behind the Roaring Kitty YouTube streams. GameStop Surges With Help From Reddit, Social Media Bulls According to news reports, GameStop stock’s incredible rise in price was helped by social media posts by people like Roaring Kitty and a Reddit user named DeepF***ingValue who posted on the WallStreetBets thread. The posts contributed to large amounts of retail investment money pouring into GameStop stock, which drove up the price and harmed the hedge funds who had shorted the stock.Scott Silver, Silver Law Group’s managing partner, was interviewed for a CNBC article about the GameStop (GME) bull who is behind the Roaring Kitty YouTube streams.

GameStop Surges With Help From Reddit, Social Media Bulls

According to news reports, GameStop stock’s incredible rise in price was helped by social media posts by people like Roaring Kitty and a Reddit user named DeepF***ingValue who posted on the WallStreetBets thread. The posts contributed to large amounts of retail investment money pouring into GameStop stock, which drove up the price and harmed the hedge funds who had shorted the stock. Continue reading ›

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Tyler Delahunt (Tyler Dean Delahunt CRD#: 4419594) is a formerly registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Atlanta, Georgia. His previous employers include PFS Investments Inc. (CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. (CRD#:6694) of Alpharetta, Georgia.  Delahunt has been in the industry since 2001. Tyler Delahunt Discharged By Merrill Lynch For “Selling Away” According to Delahunt’s CRD Report, published online by FINRA, Merrill Lynch discharged Delahunt in August 2020. The allegations against Delahunt in connection with his discharge involve “improper solicitation of clients related to an outside investment and participating in financial arrangements involving clients.” Solicitation of clients for an outside investment not approved by a broker’s employing firm is often referred to in the securities industry as “selling away”. After Delahunt’s Discharge, FINRA Initiated an Investigation FINRA began an investigation after receiving paperwork from Merrill Lynch with the reasons for his termination.  According to FINRA’s Letter of Acceptance, Waiver, and Consent with Delahunt (AWC), FINRA was investigating “whether Delahunt had solicited clients in a private securities transaction without approval of Merrill Lynch and whether he had accepted loans or other funds from clients without notice to his firm.” The AWC indicates that Delahunt failed to respond to FINRA’s inquiry, in violation of FINRA Rules.Tyler Delahunt (Tyler Dean Delahunt CRD#: 4419594) is a formerly registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Atlanta, Georgia. His previous employers include PFS Investments Inc. (CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. (CRD#:6694) of Alpharetta, Georgia.  Delahunt has been in the industry since 2001. Continue reading ›

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