FINRA rule 8210

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 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.

Kayan Securities, Inc. Broker Sun Hyung Kim BARRED by FINRA – Los Angeles, California

Published on: April 30, 2021 | by Iorio Altamirano

FINRA has barred Kayan Securities, Inc. broker Sun Hyung Kim from the securities industry.

If you have lost money with Sun Hyung Kim, or Kayan Securities, Inc., 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 Kayan Securities, Inc.

Another Joseph Stone Capital L.L.C. Broker in Trouble with Regulators: Financial Advisor David Martirosian BARRED by FINRA – New York

Published on: April 29, 2021 | by Iorio Altamirano

The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Martirosian from the securities industry. Mr. Martirosian was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation into potentially unsuitable and excessive trading and his potential participation in private securities transactions while associated with Joseph Stone Capital L.L.C. (“Joseph Stone Capital”).

Mr. Martirosian, who had only 13 years of experience in the securities industry, had a history of associations disreputable broker-dealers, customer complaints, and tax liens.

Mr. Martirosian was employed by Joseph Stone Capital in New York from July 2016 until April 26, 2021

Former LPL Financial LLC Broker John Scott BARRED by FINRA – Phoenix, Arizona

Published on: April 23, 2021 | by Iorio Altamirano

FINRA has barred former LPL Financial LLC broker John Scott from the securities industry. According to FINRA, the matter originated from an investigation of Mr. Scott’s potential participation in certain private placement offerings.

If you have lost money with John Scott, or LPL Financial LLC, contact New York securities 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 LPL Financial LLC.

FINRA Files Enforcement Action Against Former Joseph Stone Capital, LLC. Broker Abdul Rahmani

Published on: April 16, 2021 | by Iorio Altamirano

**Update: November 8, 2021** On April 15, 2021, FINRA’s Department of Enforcement filed disciplinary proceeding No. 2019063626703 against former Joseph Stone Capital broker Abdul Rahmani. On October 28, 2021, Mr. Rahmani submitted an Offer of Settlement to FINRA’s Department of Enforcement. On November 2, 2021, FINRA’s Department of Enforcement and the National Adjudicatory Council (NAC), a Review Subcommittee of the NAC, or the Office of Disciplinary Affiars (ODA) have accepted Mr. Rahmani’s offer of settlement. Under the terms of the settlement, Mr. Rahmani has consented to a bar from the securities industry.

Original Post:

FINRA Files Enforcement Action Against Former Joseph Stone Capital, LLC. Broker Abdul Rahmani

FINRA Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. – Virginia Beach, VA

Published on: April 14, 2021 | by Iorio Altamirano

**Update: July 26, 2021** FINRA has barred Hugues Guirand from the securities industry after Mr. Guirand failed to respond to FINRA’s Department of Enforcement’s complaint.

Original Post:

FINRA Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. – Virginia Beach, VA