Philip Sparacino (CRD#: 3243960), a registered representative with First Standard Financial Company LLC of Red Bank, New Jersey, was the subject of a regulatory action by the New Jersey Bureau of Securities. On October 8, 2019, the New Jersey Bureau of Securities levied an administrative penalty of $250,000 and revoked Paul Sparacino’s New Jersey securities […]
Steve Netzel (CRD#: 2863170), previously a registered representative with Madison Avenue Securities, LLC of Sun Lakes, Arizona (CRD#: 23224), is currently involved in a pending customer dispute in which a client alleges that he made unsuitable recommendations, according to his BrokerCheck report accessed on October 22, 2019. The client is requesting $300,000 in damages. According […]
Larry Boggs (CRD#: 1874727), a registered representative with International Assets Advisory, LLC in Atlanta, Georgia, is currently involved in a pending customer dispute in which a client alleges that Larry Boggs made “unsuitable investment recommendations,” according to his BrokerCheck report accessed on October 22, 2019. The complaint also alleges “breach of contract, violation of Alabama […]
A 45-year veteran of the securities industry, Mark E. Jones (CRD#: 261512) is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Denver, Colorado. According to his BrokerCheck report accessed on August 15, 2019, he is currently involved in a pending dispute, filed on May 17, 2019, in which a client […]
Nancy Glassman (CRD#: 1734992), currently a registered representative with Morgan Stanley in New York, New York, is involved in a pending dispute in which a client is alleging unsuitability regarding a wrap account, according to her BrokerCheck record accessed on August 13, 2019. The complaint was filed on May 21, 2019 and the client is […]
Eric Niedermeyer (CRD#: 1680870), a registered representative with Wells Fargo Advisors Financial Network in Portland, Oregon, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on August 13, 2019. In the dispute, filed on May 20, 2019, a client “alleges the Bank of America Class B warrants were misrepresented and […]
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 […]
Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]
John Holland (CRD#: 2538118), a registered representative with Summit Brokerage Services, Inc. in Charleston, West Virginia, is currently involved in a pending dispute in which a client alleges “negligence and breach of fiduciary duty,” according to his BrokerCheck report accessed on August 12, 2019. The claim was filed on May 24, 2019 and the client […]
Dean Kajouras (CRD#: 1436548), currently a registered representative with Fordham Financial Management, Inc. of New York, New York is being sued for breach of fiduciary duty, according to his BrokerCheck report accessed on August 6, 2019. On June 8, 2019, Dean Kajouras became involved in a customer dispute in which a client alleges, “misrepresentation, breach […]
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