FINRA has barred former Fifth Third Securities, Inc. broker David Wells from the securities industry. Mr. Wells consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony or to produce documents requested by FINRA in connection with its investigation into his potential…
FINRA has barred former Advisory Group Equity Services broker Robert Nyilas from the securities industry. Mr. Nyilas consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he made unsuitable securities recommendations…
FINRA has barred former W&S Brokerage Services, Inc. broker Ronald Daley from the securities industry. Mr. Daley consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony or to produce documents and information requested by FINRA in connection with its investigation into…
FINRA has barred former MML Investors Services, LLC (“MML”) broker Adam Gerard Belardino from the securities industry for failing to provide on-the-record testimony on two occasions in violation of FINRA Rules 8210 and 2010. In April 2019, Mr. Belardino’s firm terminated his employment during a review of customer complaints made…
FINRA has barred former Merrill Lynch broker Scott Madison from the securities industry after he failed to provide information and documents requested by FINRA in connection with its investigation into the circumstances of his termination from Merrill Lynch. If you have suffered investment losses with Scott Madison, or Merrill Lynch,…
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry after he refused to provide information and documents requested by FINRA. If you have suffered investment losses with Jeffrey Travis Drost, or Raymond James, contact New York securities arbitration lawyers Iorio Altamirano LLP…
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Joseph Lianzo from the securities industry for eight months. Mr. Lianzo consented to the suspension after FINRA alleged that from March 2016 through November 2019, while associated with Laidlaw & Company (UK) LTD. and SW Financial, Mr. Lianzo excessively traded four…
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Wright from the securities industry. Mr. Wright consented to the bar after FINRA alleged that he failed to cooperate with a FINRA investigation into whether Mr. Wright inappropriately borrowed money from a customer. Mr. Wright was associated with National Securities…
FINRA has barred former Cetera Advisors LLC broker Walter Morrow Allen from the securities industry for refusing to provide information and documents requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010. If you have lost money with Walter Morrow Allen, or Cetera Advisors LLC, contact…
On August 3, 2021, the Financial Industry Regulatory Authority (“FINRA”) and former Joseph Stone Capital L.L.C. stockbroker Eugene McAdams entered into a Letter of Acceptance, Waiver, and Consent No. 2020066887801 whereby Mr. McAdams consented to a bar from the securities industry. Mr. McAdams consented to the expulsion after refusing to…