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FINRA Suspends 15+ Representatives In November 2018

November Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2018 indicate that FINRA reported over 15 brokers and/or investment advisers in November, 2018 as suspended from association with its member firms. The investment professionals documented below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s actions; however, they have not admitted to or denied the alleged underlying conduct detailed by FINRA. Some of these suspensions may have been lifted before or after the publication of FINRA’s report. Furthermore, the fines listed may not represent the total financial penalties levied on the representatives; they may also have been ordered to pay disgorgement, restitution, or other financial penalties. To learn more about these actions, including the specific findings regarding the representatives in question visit FINRA’s disciplinary action homepage.

 

Name Current/Former Employers Fine Paid Length
Leslie George Markus Jr. Lincoln Investment $10,000 2 years
Richard Hiroyuki Yada LPL Financial $5,000 2 months
4 months
Richard Stephen Hughes Summit Brokerage Services $10,000 8 months
John W. Ferramosca Merrill Lynch $5,000 30 days
Michael Francis Prcela Piper Jaffray & Company $5,000 9 months
Ryan Christopher Stefan Piper Jaffray & Company $5,000 1 year
George Louis McCaffrey III NTB Financial Corporation $15,000 18 months
Luke A. Eddy Merrill Lynch $5,000 3 months
Robert Matthew Krieger The Investment Center $10,000 4 months
Ryan Alexander Logan MML Investors Services $5,000 3 months
Jeffrey Evan Sigman First Financial Equity Corporation $5,000 2 months
Jeffrey Scott Kidwell AVM $7,500 6 months
Jose Luis Leon BAC Florida Investments $10,000 6 months
Ian Greenblatt aka Eric Green Capitol Securities Management $10,000 30 days
Timothy Jay Scherwa Capitol Securities Management $7,500 2 months
Kenneth Edward Greer Jr. Liberty Tree Advisors $5,000 2 months
Robert Charles Torcivia Moors & Cabot $10,000 7 months
Geoffrey Colin Turner BB&T Securities $7,500 30 days
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