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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 ›

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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 ›

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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 ›

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The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. Among other things, the FINRA arbitration process helps parties avoid the expenses and waiting periods associated with filing a case in state or federal court. FINRA also writes special rules and regulations specially tailored to these investment-related disputes. As commissions on trading stocks has gone to zero, Wall Street has replaced recommending stocks with a large number of high commission alternative investments or “products” which can be complex for the average investor but lucrative for Wall Street. Over the last decade, we have seen a substantial rise in product cases for the sale of investments which were sold without disclosure of the fees or risks or alternative investments which failed to perform the way the investment was designed. Frequently, risks and costs are buried deep in the paperwork and products are falsely sold as alternatives to the stock market with reduced risk. FINRA Provides Special Guidance For Arbitrations Concerning Bad “Products” Unfortunately, many investors suffer losses due to broker-dealer firms failing to conduct sufficient due diligence on investment products before recommending them to customers. These “products” include private placements, real estate investment trusts (“REITs”), and busines development companies (“BDCs”). It is often the case that the company managing the product pays the broker a high commission to recommend the investment, incentivizing broker-dealer firms to sell the product in high volumes to a multitude of customers, all without properly investigating the investment. When things fall apart and the value of the investment plummets, the investors are left alone to pick up the pieces, often suffering substantial losses and prolonged illiquidity.The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. Among other things, the FINRA arbitration process helps parties avoid the expenses and waiting periods associated with filing a case in state or federal court. FINRA also writes special rules and regulations specially tailored to these investment-related disputes. Continue reading ›

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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

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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 ›

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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.

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Silver Law Group recently filed a FINRA arbitration claim against Madison Avenue Securities, LLC and registered representatives Angela Sloan, Robert Luley, Jr., and Katherine Spearman (a/k/a Katherine McConnell).  The investor’s claims arise out of recommendations to invest in GPB Automotive Portfolio, LP, a private placement managed by GPB Capital Holdings, LLC. Among other things, the investor alleges that Madison Avenue Securities and its registered representatives failed to conduct adequate due diligence on the GPB investment and that the recommendation to invest in GPB was unsuitable, negligent, and constituted a breach of fiduciary duty.Silver Law Group recently filed a FINRA arbitration claim against Madison Avenue Securities, LLC and registered representatives Angela Sloan, Robert Luley, Jr., and Katherine Spearman (a/k/a Katherine McConnell).  The investor’s claims arise out of recommendations to invest in GPB Automotive Portfolio, LP, a private placement managed by GPB Capital Holdings, LLC. Among other things, the investor alleges that Madison Avenue Securities and its registered representatives failed to conduct adequate due diligence on the GPB investment and that the recommendation to invest in GPB was unsuitable, negligent, and constituted a breach of fiduciary duty. Continue reading ›

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According to FINRA Disciplinary actions for July 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
  Robert Cacioppo   MML Investors Services, LLC
  NYLIfe Securities LLC
  Michael Davis   Allied Millennial Partners, LLC
  Syren Capital Advisors
  David Del Rio   LPL Financial LLC
  SunTrust Investment Services, Inc.
  Mary Beth Frassetto   Thrivent Investment Management Inc.
  Megan Hoffman   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Jody Pullium   Allstate Financial Services, LLC
  PNC Investments
  Ana Rivera   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  George Schmidt, Jr.   Lincoln Financial Advisors Corporation
  Hornor, Townsend & Kent, Inc.
  Kevin Williams   Lucia Securities, LLC
  Wells Fargo Clearing Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for July 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
  Thomas Ambrose   Ambrose Wealth Management
  Cambridge Investment Research, Inc.
  Matthew Beaver   Grit Wealth Management, LLC
  Ameriprise Financial Services, Inc.
  Neal Carlson   Forthright Family Wealth Advisory LLC
  Wells Fargo Clearing Services, LLC
  Karl Foust, Jr.   H.D. Vest Investment Services
  GunnAllen Financial, Inc.
  Ryan Kaufman   Securities America, Inc.
  Woodbury Financial Services, Inc.
  Henry Osorio, Jr.   Westrock Advisors, Inc.
  S.W. Bach & Company
  Damion Smith   Great Gable Wealth Management
  Morgan Stanley
  Walter Taylor, Jr.   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Howard Walzer   BB&T Securities, LLC
  UBS Financial Services Inc.
  Xianyu Yu Zhang   Wells Fargo Clearing Services, LLC
  LPL Financial LLC

Continue reading ›

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