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FINRA Suspends 20+ Representatives In June 2018

FINRA Suspends 20+ RepresentativesAccording to publicly available records published by the Financial Industry Regulatory Authority and accessed on June 18, 2018, more than two dozen brokers and/or investment advisers were reported in that month as suspended from association with FINRA member firms. The representatives listed have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to FINRA’s sanctions, however, they have not admitted or denied the alleged underlying actions. Some have been suspended from operating in a principal capacity; some in all capacities; some in both. Additionally, certain sanctions may have lifted before or since FINRA’s report was published. The fines enumerated below may not represent the total monetary penalties paid by the individuals, some of whom were also ordered to pay disgorgement to affected investors. Additional information is available on FINRA’s disciplinary action homepage.

Name Current/Former Employers Length of Suspension Fines paid
Jeffery Allen Fanning Liberty Partners Financial Services 6 months (any capacity), then 12 months (principal capacity) $20,000
Richard Hunt Crockett Cova Capital Partners, Spencer Clark 2 months (principal capacity) $5,000
Bret Lee Niemuth Voya Financial Advisors 8 months $5,000
Thomas W. Hinson Wealthforge Securities 5 months n/a
Brent Van Lott Cetera Advisor Networks 4 months $20,000
Philip Marcus Winstead Commonwealth Financial Network 2 months $5,000
David W. Ingle Moors & Cabot 18 months $10,000
Wolf Alexander Popper JA Darbie & Company, Wolf A. Popper Inc. 30 days $5,000
Mason Wayne Gann Berthel Fisher & Company 20 days $5,000
Julie Rae Steinbauer AXA Advisors 18 months $5,000
Jonathan Russell Belden Merrill Lynch 60 days $10,000
Mina Alfred Mishrikey Deutsche Bank Securities 3 months $5,000
Peter Alan Svigel Jr. AXA Advisors 18 months $5,000
Richard Anthony McCollam National Planning Corporation 9 months $10,000
John Scot Galinsky First Dominion Capital Corporation 10 days $7,500
Arthur Meunier-Breitman Morgan Stanley & Company 2 years $20,000
Dung Thanh Nguyen Callaway Financial Services 2 months n/a
Walter Warren Parker Titan Securities 1 month $7,500
Denise Marie DeBlasio National Securities Corporation 4 months $10,000
Stephen Johnathan Hoshimi Crescent Securities Group 3 months $5,000
Kenneth Joseph Mathieson Laidlaw & Company 6 months $50,000
Ahmed Ghassan Gheith Paulson Investment Company 12 months $10,000
Kevin Stephen Fitzpatrick Stifel Nicolaus & Company 15 days $5,000
Richard Kyle Taylor PFS Investments 3 months $5,000
Don Wade Traywick Crown Capital Securities 3 months $5,000

 

Arthur Meunier-Breitman Morgan Stanley & Company 2 years $20,000
  Dung Thanh Nguyen Callaway Financial Services 2 months n/a
  Walter Warren Parker Titan Securities 1 month $7,500
  Denise Marie DeBlasio National Securities Corporation 4 months $10,000
  Stephen Johnathan Hoshimi Crescent Securities Group 3 months $5,000
  Kenneth Joseph Mathieson Laidlaw & Company 6 months $50,000
  Ahmed Ghassan Gheith Paulson Investment Company 12 months $10,000
  Kevin Stephen Fitzpatrick Stifel Nicolaus & Company 15 days $5,000
  Richard Kyle Taylor PFS Investments 3 months $5,000
  Don Wade Traywick Crown Capital Securities 3 months $5,000