FINRA has filed an enforcement complaint against former Chardan Capital Markets LLC broker Jason Lynn DiPaola (CRD#: 2648836). Mr. DiPaola has 20 years of experience in the securities industry and was most recently registered as a broker with Chardan Capital Markets LLC in New York, NY, from May 2013 to…
FINRA has suspended former Wells Fargo Advisors broker Gary Len Wells from the securities industry for 15 months for accepting a $600,000 bequest from a non-family member. He was also fined $20,000. Mr. Wells’ suspension runs from May 3, 2021, until August 2, 2022. If you have lost money with…
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Candido Viyella. from the securities industry. Mr. Viyella was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation. FINRA’s investigation originated after Morgan Stanley discharged Mr. Viyella and disclosed concerns regarding his participation, involvement, and a beneficial…
FINRA has barred former LPL Financial LLC broker John Edgar Simmons, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. Mr. Simmons, Jr. was most recently registered as a broker with LPL Financial LLC in Gulf Breeze, Florida. If you have lost money with John Edgar…
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry. Mr. Dixon was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation. FINRA’s investigation originated after Securities America, Inc. discharged Mr. Dixon and alleged that he signed his deceased client’s signature…
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. Mr. Vici was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation that originated from a complaint made to FINRA by the executor of a customer’s estate about his handling of…
FINRA has suspended International Assets Advisory, LLC broker Ronald Patrick Cameron from the securities industry for five weeks for engaging in an outside business activity without providing prior written notice to his firm. The suspension is scheduled to start on May 17, 2021, and end on June 20, 2021. Cameron…
FINRA has suspended former RBC Capital Markets broker Scott Fergang from the securities industry for 15 business days for exercising discretion without written authorization in approximately four customer accounts. The suspension is scheduled to start on May 17, 2021, and end on June 7, 2021. Fergang was also fined $5,000.…
FINRA has suspended Cadaret, Grant & Co., Inc. broker Paul Spero from the securities industry for 15 business days for exercising discretion without written authorization in approximately 70 customer accounts. The suspension is scheduled to start on May 17, 2021, and end on June 7, 2021. Spero was also fined…
FINRA has suspended Crown Capital Securities, L.P. broker Kevin Barton from the securities industry for four months for engaging in an outside business activity, exercising discretion in customers’ accounts without prior written authorization, and mismarking trades as unsolicited. Barton was also fined $17,500. If you have lost money with Kevin…