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Articles Posted in Suspended Brokers

A registered representative with J.W. Cole Financial, Inc. of Vermillion, Ohio, Jeff Vasiloff (CRD#: 3180004) has been suspended by the Financial Industry Regulatory Authority (FINRA) for exercising discretion in brokerage accounts, according to his BrokerCheck report accessed on September 17, 2019. On September 6, 2019, Jeff Vasiloff entered into an Acceptance, Waiver, and Consent (AWC) […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

Matthew Siliato (CRD#: 5062153), who is not currently affiliated with a firm, was recently suspended by FINRA. The suspension lasted from June 12, 2019 to June 20, 2019, according to his BrokerCheck record accessed on August 8, 2019. He “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a […]

Fred Brown (CRD#: 1175385), a 32-year veteran of the securities industry whose career spans 9 firms, has been suspended by FINRA, the Financial Industry Regulatory Authority. Based in Alabama, Brown was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691). According to his BrokerCheck report, accessed on July 25, 2019, “Without […]

FINRA, the Financial Industry Regulatory Authority, has suspended Jeff Schwebach (CRD#: 1606537), a broker based in South Dakota who most recently was employed by the brokerage firm Independent Financial Group (CRD#: 7717), based in Dell Rapids, South Dakota. His branch office is Schwebach Financial. The suspension, which started July 1, 2019, will last eight months, […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Ramon Herrera, who was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker, has received resolved or pending customer disputes. Fitapelli […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that former Florida-based FSC Securities Corporation broker/adviser Kelly Barnett has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have […]

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