Suspended by FINRA

WFG Investments Broker Carl Busch Fined and Suspended by FINRA

March 7, 2016 | Silver Law Group

WFG Investments Broker Carl Busch Fined and Suspended by FINRA on silverlaw.com

Broker’s record includes failure to supervise, tax liens and civil judgments.

In his 46 years in the securities industry, Oklahoma City investment advisor Carl Busch has six disclosure events listed on his official FINRA BrokerCheck record. The most recent event in December 2015 shows that FINRA sanctioned Busch $5,000 and suspended him from participating in the securities industry as an advisor for 45 days.

According to the disciplinary action details, Busch failed to adequately supervise a registered representative of his firm, WFG Investments, who allegedly:

FINRA Suspends Registered Individuals for Violations of FINRA Rules in January 2016

January 27, 2016 | Silver Law Group

According to FINRA Disciplinary actions for January 2016, 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:

NAME	FORMER EMPLOYERS
Raymond Aleksey	Wells Fargo Advisors, LLC
Raymond Aleksey	Merrill Lynch, Pierce, Fenner & Smith Inc.
Matthew C. Ashton	Merrill Lynch, Pierce, Fenner & Smith Inc.
Ryan Jerry Attenson	Merrill Lynch, Pierce, Fenner & Smith, Inc.
Ryan Jerry Attenson	Wells Fargo Advisors, LLC
Azim, Kamran	The Huntington Investment Company
Tiffany Dawn Bee
Keith Joseph Bettex	Pruco Securities, LLC
Keith Joseph Bettex	F.N. Wolf & Co., Inc.
Bruce Scott Birke	Accelerated Capital Group
Bruce Scott Birke	Crown Capital Securities, L.P.
Toby Blackwood	PFS Investments Inc.
Angela K. Blaylock	Merrill Lynch, Pierce, Fenner & Smith Inc.
Benjamin Jon Brown	State Farm VP Management Corp.
Benjamin Jon Brown	American Express Financial Advisors Inc.
Thomas Anthony Cammarano	LPL Financial LLC
Thomas Anthony Cammarano	Associated Securities Corp.
Brian Andrew Dunn	Robert W. Baird & Co. Inc.
Brian Andrew Dunn	Citigroup Global Markets Inc.
Robert Blake Ellender	Invesco Distributors, Inc.
Robert Blake Ellender	John Hancock Funds, LLC
Susan Ann Ericson	UBS Financial Services Inc.
Jose L. Espinoza	J.P. Morgan Securities LLC
Jose L. Espinoza	Chase Investment Services Corp.
Aaron Alexander Fauntleroy	ICMA-RC Services, LLC
Craig Steven Ferraro	J.P. Morgan Securities LLC
Craig Steven Ferraro	Chase Investment Services Corp.
Michael W. Finn	Merrill Lynch, Pierce, Fenner & Smith
Alain J. Florestan	Caldwell International Securities
Alain J. Florestan	Brookstone Securities, Inc.
Robert Joseph Gray	Allstate Financial Services, LLC
Kyle Brockman Greene	J.P. Morgan Securities LLC
Larry Phillip Harvey, Jr.	J.P. Morgan Securities LLC
Larry Phillip Harvey, Jr.	Chase Investment Services Corp.
Christopher Hermiz	J.P. Morgan Securities LLC
Gregory Kieth Hines, Jr.	The Huntington Investment Company
Gregory Kieth Hines, Jr.	Chase Investment Services Corp.
Steve Everett Hinrichs	State Farm VP Management Corp.
Richard Allen Isgrig	Northwestern Mutual Investment Services, LLC
Richard Allen Isgrig	Robert W. Baird & Co. Inc.
Brian Grayson Kidder	High Point Capital Group, Inc.
Brian Grayson Kidder	Delaney Equity Group LLC
Warren Scott Koch	J.P. Morgan Securities LLC
Warren Scott Koch	Chase Investment Services Corp.
Matthew Lawrence Lalonde	Buckman, Buckman & Reid, Inc.
Matthew Lawrence Lalonde	LPL Financial LLC
Kathleen Mary Loney	LPL Financial LLC
Kathleen Mary Loney	Mutual Service Corporation
James Joseph McCarron III	J.P. Turner & Company, LLC
James Joseph McCarron III	QA3 Financial Corp.
Samuel Ryan McClain	Northwestern Mutual Investment Services, LLC
Marco A. Mendoza	J.P. Morgan Securities LLC
Marco A. Mendoza	Chase Investment Services Corp.
Vincent Joseph Menello, Jr.
Jason Scott Miller	J.P. Morgan Securities LLC
Jason Scott Miller	Chase Investment Services Corp.
Chakkin Tony Mok	Cetera Financial Specialists LLC
Chakkin Tony Mok	Hochman & Baker Securities, Inc.
Elizabeth Ann Monge	Lincoln Financial Advisors Corporation
Elizabeth Ann Monge	Valic Financial Advisors, Inc.
Samuel Sean Nelson	Waddell & Reed
Hai Yan Ni	T. Rowe Price Investment Services, Inc.
Hai Yan Ni	HSBC Securities (USA) Inc.
Darlene Byrd Page	Morgan Stanley
Darlene Byrd Page	UVest Financial Services Group, Inc.
Bernard Mark Parker	Edward Jones
Bernard Mark Parker	Beaconsfield Financial Services, Inc.
Christopher A. Parris	Nationwide Securities, Inc.
Christopher A. Parris	NYLife Securities, Inc.
Benjamin John Pritchett	Wells Fargo Adviosrs, LLC
Benjamin John Pritchett	Investors Capital Corp.
Francis Anthony Jason Punsalan	J.P. Morgan Securities LLC
Ebony C. Ranson
Toni Leynett Robertson	Caprock Securities, Inc.
Toni Leynett Robertson	Investment Professionals, Inc.
Carmie Lynn Shifflett	Citigroup Global Markets Inc.
Carmie Lynn Shifflett	Citicorp Investment Services
William Victor Siegel	Morgan Stanley
William Victor Siegel	Citigroup Global Markets Inc.
John Larry Simpson	Princor Financial Services Corporation
John Larry Simpson	Avalon Investment & Securities Group, Inc.
Robert Jay Snider	Thrivent Investment Management Inc.
Renate Barbel Sterrett	LPL Financial LLC
Renate Barbel Sterrett	Investacorp, Inc.
Abel Gaim Taklai	Key Investment Services LLC
Vladimir Tingue	Scottrade, Inc.
Vladimir Tingue	J.P. Morgan Securities LLC
Leonard Toth	Pruco Securities, LLC
Jean Ann Walsh-Josephson	Thrivent Investment Management Inc.
Joseph Arnold Weber	Farmers Financial Solutions, LLC
Joseph Arnold Weber	Equico Securities, Inc.
Teule S. Williams	J.P. Morgan Securities LLC
Teule S. Williams	Chase Investment Services Corp.
Robin Michelle Wolfgram	Cetera Advisors LLC
Robin Michelle Wolfgram	Foothill Securities, Inc.
Jamie Reid Zimmerman

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules in January 2016

January 27, 2016 | Silver Law Group

According to FINRA Disciplinary actions for January 2016, 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
William Walter Almond	Morgan Stanley
	New England Securities
William Austin Bailey	Next Financial Group, Inc.
	Mutual Service Corporation
Brian Michael Berger	Newbridge Securities Corporation
	Metlife Securities Inc.
Joseph Craig Buchanan	Morgan Stanley Smith Barney
	UBS Financial Services Inc.
George William Carris	John Carris Investments LLC
	Brockington Securities, Inc.
Maurice Joseph Chelliah	Evolve Securities, Inc.
	World Group Securities, Inc.
Anthony Diaz	IBN Financial Services, Inc.
	Sandlapper Securities, LLC
Michael Harris Lauer	J.P. Morgan Securities LLC
	Morgan Stanley
Anthony Locantore	ING Financial Partners, Inc.
	SII Investments, Inc.
Wilhelm Nash	UBS Financial Services Inc.
	Credit Suisse Securities (USA) LLC
Peter Andrew Reinhart	Ameriprise Financial Services, Inc.
	Wells Fargo Advisors Financial Network, LLC
Chad Herschel Samuel	Wells Fargo Advisors, LLC
	Morgan Stanley Smith Barney
Charles Vaccarro	F1 Trading.com, Inc.
	Greenway Capital Corp.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Samuel Borger Suspended by FINRA for Two Months

September 30, 2015 | Silver Law Group

FINRA did not impose a fine though Borger failed to report outside accounts

After 43 years in the securities industry, Samuel Jacob Borger was hit with a two-month suspension from FINRA on May 29 following allegations that he failed to inform his employing firm of outside accounts over which he had authority, according to FINRA reports.

From November 2003 to April 2014, Borger allegedly failed to disclose his association with several outside accounts to any of his employing firms in that time period. These allegations violate rules under both FINRA and the National Association of Securities Dealers (NASD). He accepted the two-month suspension without admitting or denying the findings, and he submitted a statement regarding his finances and inability to pay a fine, so a fine was not imposed.

David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration

September 24, 2015 | Silver Law Group

Ledoux failed to report six liens between 2004 and 2012

Boca Raton broker David J. Ledoux faced a suspension and fine in June after allegations that he failed to file an updated Form U4 to reflect six liens in a timely manner, according to FINRA. Ledoux, who has been employed in the security industry since 2004, was permitted to resign from National Securities Corporation after allegedly failing to report liens between 2004 and 2012. He didn’t report four of them until 2014 and two were never disclosed.

This resulted in disciplinary action from FINRA, which levied sanctions against him in the form of a 45-day suspension and $5,000 fine. The first lien, which was civil, was in the amount of $369, but the remaining tax liens amounted to a total of more than $184,000, according to FINRA. According to the disclosures made on his FINRA Broker Check report, he is on an installment plan to repay two of them.