Articles Tagged with Suspended

GettyImages-84178122-300x200Public records provided by the Financial Industry Regulatory Authority and accessed on May 15, 2018, indicate that more than two dozen brokers and/or investment advisers were reported as suspended from association with FINRA member firms in that month. The financial professionals enumerated below have signed letters of Acceptance, Waiver, and Consent (AWC Letters) agreeing to the sanctions; they have not admitted to or denied the conduct alleged by FINRA. Certain suspensions may affect the individual’s operation in a principal capacity, other capacities, or all capacities, and some may have lifted before or since FINRA’s report was published. Additionally, the fines documented below may not take into account all monetary penalties paid by the representatives, as they may also have been ordered to pay disgorgement and/or restitution to other parties. Visit FINRA’s disciplinary actions homepage for additional information.

Name Current/Former Employers Length of Suspension Fines paid
Napoleon Seymour Andrews  Nationwide Securities 2 months $5,000
Choosri Lao KCD Financial 2 months $5,000
Christine Alexandria Murphy Innovation Partners 1 month $5,000
Claudio Leonardo Villa JP Morgan Securities 18 months $10,000
David Lewis Capin Summit Brokerage Services 15 months $5,000
Ellen Marie Scambia Merriman Capital 20 days (principal capacity) $5,000
Kevin C. Yang Morgan Stanley 20 days 5,000
Timothy John Beall National Planning Corporation 9 months $10,000
Omer Ozeren Ace Diversified Capital 3 months $10,000
Douglas Fairchild Bradley UBS Financial Services 45 days $10,000
Ricardo Alfredo Estrada MML Investors Services 2 months $5,000
Michael Murphy Hurtgen Girard Securities 2 months $5,000
William Bernard Lyons ACGM 3 months (principal capacity) $10,000
Michael Douglas Hanke Ameriprise Financial Services 1 month $10,000
Donald Charles Leary Jr. New Albion Partners 2 months $7,500
Peter Michael Torabkhan Allied Millennial Partners 10 days $2,500
Michael Anthony McGregor Aegis Capital 4 months $5,000
Martin Earl Brooks United Planners’ Financial Services of America 15 days $5,000
Michael Scott Androulakis Alexander Capital 3 months $5,000
Craig Dean Blattner Cetera Advisors 15 days $5,000
Phillip Paul Tibbetts Pruco Securities 20 days $5,000
Frank Bazan BBVA Securities 7 months $20,000
Dennis Ernest Beeby Lightpath Securities 8 months $10,000
Paul Kreindler Pace Capital 2 months $15,000
Lisa C. Piazza Morgan Stanley 4 months $2,500
Mark Jude Ketner PHX Financial 2 months $5,000
Robert Mark Malbasa AllState Financial Services 3 months $5,000
William Patrick Slattery Lampert Capital Markets 5 months $12,500

 

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