FINRA rule 2010

Broker Jason Lynn DiPaola Investigated by FINRA – New York, NY

Published on: May 18, 2021 | by Iorio Altamirano

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 May 2019.

If you have lost money with Jason Lynn DiPaola, or Chardan Capital Markets LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Enforcement Allegations

Former Wells Fargo Broker Gary Len Wells Suspended by FINRA – Tacoma, WA

Published on: May 17, 2021 | by Iorio Altamirano

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 Gary Len Wells, or Wells Fargo Advisors Financial Network, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Former Morgan Stanley Broker in Miami, Candido Viyella, BARRED by FINRA

Published on: May 17, 2021 | by Iorio Altamirano

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 ownership interest in an outside investment.

Reportedly, Mr. Viyella recommended that his clients invest in the Conrad Hotel, a luxury hotel in Fort Lauderdale, Florida, in which he had a personal stake. Mr. Viyella reportedly knew the hotel was facing financial difficulties, yet recommended that his clients invest in the hotel, causing them to suffer financial losses.

Mr. Viyella was registered with Morgan Stanley in Miami, Florida, from June 2009 until December 2020. He has also been associated with the following entities: Terrena Enterprises, LLC, VSHC Management, LLC, VSHC Family Limited Partnership LP, and Earthview Capital, LLC.

Former LPL Financial LLC Broker John Simmons BARRED by FINRA – Gulf Breeze, FL

Published on: May 17, 2021 | by Iorio Altamirano

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 Simmons, Jr., or LPL Financial LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Former Securities America, Inc. Broker, Bill Dixon, BARRED from the Securities Industry by FINRA – Urbana, Ohio

Published on: May 17, 2021 | by Iorio Altamirano

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 and initials on multiple annuity surrender forms.

Mr. Dixon was registered with Securities America, Inc. in Urbana, Ohio, from September 2016 until October 2019.

If you have suffered financial losses investing with William Dixon or Securities America, Inc., contact New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential review of your account.

Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida

Published on: May 17, 2021 | by Iorio Altamirano

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 the customer’s funds.

Mr. Vici was registered with PFS Investments, Inc. in Melbourne, Florida, from November 2012 until October 2019. He has also been affiliated with Primerica Financial Services, an affiliate of PFS Investments.

If you have suffered financial losses investing with Eric John Vici, PFS Investments, Inc., or Primerica Financial Services, contact New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential review of your account.

International Assets Broker Ronald Patrick Cameron Suspended by FINRA – Fayetteville, AR

Published on: May 4, 2021 | by Iorio Altamirano

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 was also fined $5,000.

If you have lost money with Ronald Patrick Cameron, or International Assets Advisory, LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Letter of Acceptance, Waiver, and Consent (“AWC”)

Former RBC Capital Markets Broker Scott Fergang Suspended by FINRA – Paramus, New Jersey

Published on: May 3, 2021 | by Iorio Altamirano

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.

If you have lost money with Scott Fergang, or RBC Capital Markets, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors in disputes with their financial advisors or brokerage firms, such as RBC Capital Markets.

Cadaret Grant Broker Paul Spero Suspended by FINRA – Liverpool, New York

Published on: May 3, 2021 | by Iorio Altamirano

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 $5,000.

If you have lost money with Paul Spero, or Cadaret, Grant & Co., Inc., contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Crown Capital Securities, L.P. Broker Kevin Barton Suspended by FINRA – Vista, California

Published on: April 30, 2021 | by Iorio Altamirano

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 Barton, or Crown Capital Securities, L.P., contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors in disputes with their financial advisors and brokerage firms, such as Crown Capital Securities, L.P.