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$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
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Public Justice

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According to FINRA Disciplinary actions for June 2025, 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
James Burchett Cross Charles Schwab & Co Inc
Commerce Brokerage Services Inc
Joshua Nathan Helmle Integrity Brokerage LLC
Avantax Investment Services.
John W. Nelson Pruco Securities LLC
Lincoln Financial Advisors
Kevin F. Shipley J. W. Cole Financial Inc
Hennion & Walsh Inc

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According to FINRA Disciplinary actions for June 2025, 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
Kwabena Adusei
Rezwan Mohammed Alam PNC Investments
Merrill Lynch, Pierce, Fenner & Smith Inc
Cody M. Anderson Equitable Advisors
Courtney Rae Buth
Jesus Gabriel Cantu J.P. Morgan Securities LLC
Stacey Joy Chen Goldman Sachs & Co LLC
Bennett Knapp Ely Principal Securities Inc
Calton & Associates Inc
Howard O’Keefe Graham Stonex Securities Inc.
Wells Fargo Clearing Services, LLC
Rebecca Katherine Hart
Jennifer Marie Kuntzman
Jason J. Ratkovich J.P. Morgan Securities LLC

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According to FINRA Disciplinary actions for June 2025, 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
Jeu Emmanuel Delgado Lopez PFS Investments Inc.
Jerome Oliver Harris Farmers Financial Solutions LLC
Thomas Christopher Johnson NYLife Securities LLC

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According to FINRA Disciplinary actions for May 2025, 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
Cassandra N. Heitz LPL Financial, LLC
Investment Canters of America

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According to FINRA Disciplinary actions for March 2025, 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
Daylon Figueroa Brightnouse Securities LLC
Jackson National Life Distribution
Kristina Jaymes Hoisington
Lawrence Nathaniel Parker Northwestern Mutual Investment
Gian Carlo Piovanetti Popular Securities LLC
Jeddidiah Ropheka Yohannes Cetera Investment Services LLC
Edward Jones

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According to FINRA Disciplinary actions for March 2025, 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
John Douglas Engler Sr. Ameriprise Financial Services
Wells Fargo Advisors LLC
Joseph Alan Seidler RBC Capital Markets LLC
Wells Fargo Clearing Services
Robert A. Thomas IBN Financial Services Inc
Avantax Investment Services.
Robert James Tracy LPL Financial LLC
Wells Fargo Clearing Services
Robert Thomas Wong Jefferies LLC
Scott-Macon Securities Inc

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According to FINRA Disciplinary actions for April 2025, 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 Jason Abrahams Burch & Company
Raymond James & Associates, Inc.
James Burchett Cross Charles Schwab & Co. Inc.
Commerce Brokerage Services Inc
Michael Fasciglione Aegis Capital Corp
National Securities Corp.
Jason Michael Fekete Ameritas Investment Company LLC
Lincoln Financial Securities
Jeremy W. Fortner Wells Fargo Clearing Services
J. P. Morgan Securities LLC
Todd Loring Luft B. Riley Wealth Management
Ameriprise Financial Services LLC
Andrew Garrett Mandala Burch & Company
Raymond James & Associates Inc.
James J. Mariani Aegis Capital Corp.
National Securities Corporation
Amy Leanne Marx Osaic Wealth Inc.
Park Ave Securities LLC
Daniella R. Rand International Assets Advisory LLC
Merrill Lynch, Pierce, Fenner
Ruben Trujillo Wells Fargo Clearing Services LLC
PNC Investments

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According to FINRA Disciplinary actions for April 2025, 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
Mark Brosa

 

 Ameriprise Financial Services, LLC
Edward Jones
Ryan D. Clayton Merrill Lynch, Pierce, Fenner
First Citizens Investor Services
Christopher Paul Hale JP Morgan Securities
MML Investor Services LLC
Desmond Lawrence James-Jones Equitable Advisors LLC
Gustavo Santos Miramontes Oppenheimer & Co.inc.
Wedbush Securities Inc.
Ryan K. Taleghani Morgan Stanley
Merrill Lynch
Vanessa Arlene Webber

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According to FINRA Disciplinary actions for April 2025, 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
Anthony Richard Bottini III Merrill Lynch
JEU Emmanuel Delgado Lopez PFS Investments Inc.
Jerome Oliver Harris Farmers Financial Solutions LLC
Thomas Christopher Johnson NYLife Securities LLC
Amanda E Kriss J.P. Morgan Securities
Chase Investment Services Corp
Michael Oakley Thomas Thrivent Investment Management

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If you invested in the 352 Capital Fund through Jefferies Financial Group Inc., contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. The U.S. Securities and Exchange Commission has filed indictments for fraud against two individuals over a fraudulent franchise scheme involving water purification vending machines. They were: Ryan Wear, the CEO of WaterStation, and Jordan Chirico, a former Jefferies Financial Group Inc., hedge fund manager charged with fraud for directing nearly $100 million in bonds. These individuals targeted retail investors, including veterans, who have lost over $200 million. The scheme involved selling water vending machines and placing them in areas where purified water was difficult to obtain. The water was sold by the gallon and was allegedly more profitable than other types of vending machines.If you invested in the 352 Capital Fund through Jefferies Financial Group Inc., contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options.

The U.S. Securities and Exchange Commission has filed indictments for fraud against two individuals over a fraudulent franchise scheme involving water purification vending machines. They were: Ryan Wear, the CEO of WaterStation, and Jordan Chirico, a former Jefferies Financial Group Inc., hedge fund manager charged with fraud for directing nearly $100 million in bonds. These individuals targeted retail investors, including veterans, who have lost over $200 million. Continue reading ›

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