FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

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) […]

Jay Piekarczyk (CRD#: 1128773), formerly a registered representative with Pruco Securities, LLC in Joliet, Illinois, is currently under investigation by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on September 17, 2019. He is currently not affiliated with any member firm. On August 30, 2019, FINRA recommended that disciplinary action be […]

Joseph Andreoli (CRD#: 1718688), a registered representative with Raymond James & Associates, Inc. in Hackensack, New Jersey, became involved in a customer dispute on August 26, 2019 in which a client alleges that he “made unsuitable investments,” according to his BrokerCheck record accessed on September 17, 2019. The dispute is pending. This is not the […]

FINRA, the Financial Industry Regulatory Authority, has barred Paul Pitsironis (CRD#: 2804907), from the securities industry for allegedly stealing from a customer, according to his BrokerCheck report accessed on September 12, 2019. All three of the disclosures on Paul Pitsironis’s BrokerCheck record stem from the allegation that he stole $411,000 from a client’s account while […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Anthony Joslin (CRD#: 2281191), a registered representative with Garden State Securities, Inc. of Red Bank, New Jersey, is currently involved in a dispute in which a client alleges “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation,” according to his BrokerCheck report accessed on September 5, 2019. The client, who filed the complaint […]

The Securities and Exchange Commission (SEC) has charged former LPL Financial broker Kerry Hoffman (CRD#: 1061740) with securities fraud. He allegedly sold unregistered securities of GT Media, Inc. according to the SEC’s press release and his BrokerCheck record accessed on September 5, 2019. On July 1, 2019, the SEC charged Kerry Hoffman with securities fraud, […]

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