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FINRA Issues a Suspension to 30+ Representatives

SuspensionAccording to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in June, more than 30 brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following individuals have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions may have been lifted before or after the publication of FINRA’s report. Certain suspensions were accompanied by monetary fines and penalties; the fines enumerated below may not represent the full sums paid by the representatives in question, who may have been ordered to pay disgorgement or restitution as well. For more information about each sanction, visit FINRA’s disciplinary actions for June 2017.

Name Current/Former Employers Length of Suspension Fines paid
John Amador Blakezuniga Vanguard Capital 22 months $25,000
Scott Charles Brandle AllState Financial Services 3 months $7,500
Johnny Earl Burris Southeast Investments, Oppenheimer & Company, JP Morgan Securities 5 days $5,000
Adriane L. Cagle Merrill Lynch 2 months $5,000
Jay Martin Chapler Silver Leaf Partners 4 months $22,500
Jeffrey Paul Davis Kovack Securities, Harvest Capital 1 month $5,000
Leon Edward Dixon AXA Advisors 5 months $7,500
David Adam Elgart (pending review) Sequoia Investments 6 months, 30 days $20,000
Natalie E. Fogiel Moon Waddell & Reed 12 months $5,000
Matthew Ernest Garbarino Lincoln Financial Advisors 4 months $5,000
Nasrollah Victor Hatami AllState Financial Services 3 months $7,500
John Richard Kuprianchik III Network 1 Financial Securities, Meyers Associates 2 months $5,000
Richard Charles Kuriger IV Pruco Securities, Hartford Equity Sales Company 3 months $10,000
Enrique Mercado Jr. EFG Capital International, RBC Capital Markets 12 months $15,000
Thaddeus James North (pending review) Kuhns Brothers Securities Corporation 2 months, 30 days (principal/supervisory) $40,000
John Christopher Oldham Center Street Securities, NPB Financial Group, Independent Financial Group 3 months $5,000
John Edward Olinghouse Fortune Financial Services, HD Vest Investment Services 1 year $15,000
Eric Eugene Ott MML Investors Services, JP Morgan Securities 13 months $15,000
Neil Palazzo Ameriprise Financial Services, David Lerner Associates 10 days $5,000
Todd Joseph Pilosi LPL Financial, RBC Capital Markets 4 months $5,000
Jeffrey Lloyd Scheibner Capital Synergy Partners, Accelerated Capital Group 3 months $5,000
Todd Michael Schoenwalder JP Morgan Securities 15 months $15,000
Arthur J. Smithee Jr. Berthel Fisher & Company Financial Services, LPL Financial 3 months $10,000
Eric Stanley Springer Woodbury Financial Services 1 month $5,000
David Kimball Stone Liberty Tree Advisors 2 months $5,000
Ryan Wallace Merrill Lynch, Wells Fargo Advisors 5 months $10,000
Robert William Ward Thrivent Investment Management 9 months $7,500
George Marshall Warner Chelsea Financial Services, Dominion Investor Services, IFS Securities 30 days $5,000
Robert Mark Wasserman Dawson James Securities 15 days $10,000
William Cambell Webb Raymond James & Associates 18 months $15,000
John Patrick Wheeler Raymond James Financial Services 6 months $20,000
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