Articles Tagged with July

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July Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 6, 2018 indicate that FINRA reported over 20 brokers and/or investment advisers in that month as suspended from association with member firms. The individuals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these actions; they have not admitted to or denied the alleged underlying conduct. Some of these suspensions may have been lifted before or after the publication of FINRA’s report. Additionally, the fines listed may not represent the total financial penalties levied on the representatives, who may also have been ordered to pay disgorgement or other penalties to affected investors. For more information on these actions, visit FINRA’s disciplinary action homepage.

Name Current/Former Employers Fine Paid Length
Nicholas John Hoetmer Ameriprise Financial Services $7,500 9 months
James Otis Conaway USA Financial Securities Corporation $10,000 9 months
Lorraine Annette Conaway USA Financial Securities Corporation $10,000 9 months
Joshua Thomas Crossman Merrill Lynch $10,000 6 months
Michael Terry Swingle JW Cole Financial $5,000 18 months
Fatou Camara PFS Investments $5,000 3 months
Philip Orezio Fatta Spartan Capital Securities $5,000 4 months
Nas Adel Allan Merrill Lynch $2,500 1 month
Robert N. Newman Morgan Stanley $5,000 10 days
Gregory J. Anastos Windsor Street Capital n/a 4 months
Kelly Marvin Barnett FSC Securities Corporation $15,000 6 months
Andrew Lee Denney LPL Financial Network $5,000 12 months
Francisco Jose Ortiz Brickell Global Markets $5,000 1 month
Joshua David Stamm Merrill Lynch $5,000 6 months
Zachary Stuart Brodt First Financial Equity Corporation $10,000 3 months
Fuad Saad Habba Morgan Stanley $5,000 3 months
Peter David Holler Securities Service Network $10,000 2 years
Lawrence Eugene Murphy International Assets Advisory $7,500 20 days
Gerard Chandler Gremillion ProFinancial $20,000 2 years
Brian John Hussey Jr. Ameriprise Financial Services n/a 7 months
Louis Anthony Telerico Westminster Financial Services n/a 6 months
John Michael Krohn Principal Securities $10,000 3 months
Morey Herbert Goldberg M Holdings Securities $10,000 45 days
Kenneth K. Jobson Morgan Stanley $5,000 3 months
Carlos Velazquez Waddell & Reed $10,000 8 months

 

Published on:

July

Publicly available records published by the Financial Industry Regulatory Authority and accessed on August 6, 2018 indicate that FINRA reported more than twenty brokers and/or investment advisers in that month as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting to or denying the alleged underlying conduct. For more information about these sanctions, visit FINRA’s disciplinary actions homepage.

 

 

Name Current/Former Employers
Joseph Glenn Pratt Signator Investors
Brian Joseph Panfil Paulson Investment Company
Vaughn Lee Andrews-McKay Pruco Securities
Stacy Elizabeth Cheney-Jamison Cuna Brokerage Services
Brian Keith Decker Worden Capital Management
James Edward Knee Voya Financial Advisors
Amy Elizabeth Pesina JP Morgan Securities
Brandon Carl Rudolph Wealthforge Securities
Norman R. Sicard Jr. Broker Dealer Financial Services
Emil John Skyba Westport Capital Markets
Ahmed Abdelmawla Gadelkareem Newport Coast Securities
Jonathan George Sweeney Navy Federal Brokerage Services
Harold Francis Couglar Montage Securities
Douglas Anthony Leone Salomon Whitney Financial
James Larkin Powers Celadon Financial Group
Meaghan Marie Johnson Northwestern Mutual Investment Services
Leona Lynn Parsons JP Morgan Securities
Herbert Voss Jr. Stockcross Financial Services
Sanjeev Sreetharan Deutsche Bank Securities
Anthony Bernard Didonato III Pruco Securities
Maria Nancy Tamburro Ameriprise Financial Services