Articles Tagged with February

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February

More than two dozen brokers and/or investment advisers were reported as suspended from association Financial Industry Regulatory Authority member firms in February 2018, according to FINRA’s list of disciplinary actions issued last month. The below individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s suspensions; they have not admitted to or denied the alleged conduct. Suspensions may apply to association in a principal capacity or all capacities. Some of these sanctions may have been lifted before or since FINRA’s report was released last month. Furthermore, the fines listed below may not account for the full sums paid by the sanctioned representatives; some may have been ordered to pay restitution and/or disgorgement in addition to fines. Visit FINRA’s disciplinary action records for more information.

Name Current/Former Employers Length of Suspension Fines paid
Joseph Abbate Wells Fargo Clearing Services 20 days $5,000
Nolan Dudley Baird Jr. Stifel Nicolaus & Company 15 days $7,500
Peter Louis Pavlina Hamersley Partners 2 months $10,000
Brenton Louis Bataille Spencer Edwards 10 days $5,000
Benjamin James Herauf Edward Jones 6 months $5,000
Joseph Daniel Krueger II Robert W. Baird & Company 3 months $5,000
Joseph Alan Lavigne Spencer Edwards 30 days (all capacities) 20 days (principal capacity) $14,500
Steven Chin Quoy Spencer Edwards 10 days $7,500
Richard Albert Seefried Spencer Edwards 30 days $10,000
Eli Lazarowitz BNP Paribas Prime Brokerage 45 days $5,000
Michael Nicholas Guilfoyle Four Points Capital Partners 10 months $10,000
Jess Elliott Roberts Foresters Financial Sevices 3 months $10,000
Kenneth S. Alter Stifel Nicolaus & Company 10 days $5,000
Steven Arthur Bumbera Kovack Securities 45 days $4,000
Wayne Ivan Miiller Aeon Capital 6 months (principal capacity) $10,000
Janet Lynn Ross Accelerated Capital Group 2 years (principal capacity) $10,000
Ashley Elmo Arnsdorff BB&T Investment Services 10 days $5,000
Carol Lipner Cirrus Research 45 days $17,500
Walter Sanfrid Olsson Raymond James Financial Services 4 months $5,000
Gary Bruce Weiss Salomon Whitney Financial 30 days (principal capacity) $5,000
Lawrence John Fawcett Jr. Westpark Capital 15 days $2,500
Gary Raymond Gray Wells Fargo Clearing Services 3 months $10,000
Nicholas Victor Kayal ADP Broker-Dealer 20 days $5,000
Shannon Lynn Lewis State Farm VP Management Corporation 6 months $7,500
Roseann Palermo Chelsea Financial Services 1 month $5,000
Mircea Cristian Sauciuc Morgan Stanley 60 days $10,000
Craig Alan Sutherland Money Concepts Capital Corporation 15 days $5,000
John William Bernard Independent Financial Group 20 dyas $5,000
Jon William Stagnone Fidelity Brokerage Services 2 months $5,000

 

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FebruaryMore than a dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms in February 2018, per FINRA’s list of disciplinary actions issued in that month. The individuals enumerated below below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions; they have not admitted or denied the alleged underlying conduct. For additional information about these sanctions, visit FINRA’s Disciplinary Actions webpage.

 

 

Name Current/Former Employers
Jermaine Doral Joseph PFS Investments
Kenneth Stewart Tyrrell Cary Street Partners
Charles Henry Frieda Wells Fargo Clearing Services
Charles Bernard Lynch Jr. Wells Fargo Advisors
JoeAnn Mitchell Walker Next Financial Group
Vladimir Tingue Scottrade
Brian Michael Travers MML Investors Services
Leslie Rhodes Koonce EK Riley Securities
Zhengquan Zhang KCG Americas
Kim D. Le State Farm VP Management Corporation
Neil S. Fineman First Allied Securities
Jed Edward Tinder Western International Securities
Eddie Basora Jr. Merrimac Corporate Securities
Hank Mark Werner Legend Securities
John M. James Stifel Nicolaus & Company
Tyrone Y. Pang MML Investors Services