George W. Montgomery, who purportedly shot himself three times and suffered four wounds, according to an autopsy from the Yavapai County Medical Examiner,  allegedly lost $3 million worth of investor money whilst running a Ponzi scheme known as Twin Peaks, according to an investigation from the Securities Division of the Arizona Corporation Commission presently being reviewed by attorneys Alan Rosca and Joe Peiffer.


Michael Jump, who was registered with Investment Planners from April 2013 to April 2014, allegedly prepared Variable Annuity Transmittal and Disclosure forms (also known as VA switch forms) in connection with 32 variable annuity transactions, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Matthew J. Semetulkis allegedly failed to provide the documents and information requested per an investigation regarding allegations that he acted improperly in providing false information regarding client meetings on firm required documentation. (Read complete broker profile here)


Barry George Hartman, between 2004 and March 2015, and while associated with FSC, allegedly served on the board of directors of an unaffiliated privately-held company, known only as IC, without providing written notice to the Firm in the form required by FSC, according to the AWC. (Read complete broker profile here)


Vicki Smith allegedly engaged in undisclosed business activities, and also recommended a Ten Forty Inc. customer to invest $50,000 in her business, and facilitated the transaction and issued the customer a promissory note, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Francesco Puccio, of AXA Advisors and Cambridge Investment Research, allegedly converted funds from a non-firm customer, according to a recent FINRA Letter of Acceptance, Waiver and Consent. (Read complete broker profile here)


James R. Glover allegedly coordinated financial fraud by luring family, friends, and fellow church members to become his clients at Boston-based Signators Inc. and invest their cash in Colonial Tidewater Realty Income Partners, which Glover co-managed. (Read complete broker profile here)


Bruce R. Geiger, from 2005 to 2010, allegedly falsified 115 forms relating to the accounts of 14 customers at Thrivent Investment Management, Inc. to cause disbursements totaling approximately $562,008.65, according to a recent Complaint from FINRA’s Department of Enforcement. (Read complete broker profile here)


Charles D. Jones allegedly ran a multi-million dollar scheme, according to news reports from Texas. (Read complete broker profile here)


Charlotte Ann Guin allegedly converted the funds of a Non-Firm Customer, among other things, according to recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Rasheed Adam allegedly engaged in unsuitable excessive trading and churning in two of his customers’ accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Malcolm Segal allegedly ran a ponzi scheme wherein he stole from individuals who thought they were investing their money in Certificates of Deposit, and from investors who held funds in brokerage accounts while he worked at Aegis, according to an unsealed SEC Indictment from the U.S. District Court for Eastern Pennsylvania. (Read complete broker profile here)


Michael Ross Highfill allegedly solicited and accepted a loan from an elderly customer and also failed to report an outside business activity, according to a Complaint from FINRA’s Department of Enforcement. (Read complete broker profile here)


Matthew Joel Levitt allegedly failed to respond to a FINRA investigation regarding whether he violated securities rules and regulations, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Malcolm Jamal Babin allegedly converted non-firm customer funds and engaged in undisclosed outside business activities while he was registered with PFS Investments, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Brian Michael Berger, of Fort Lauderdale, Florida, allegedly failed to respond to a a FINRA investigation after the financial regulatory agency had conducted an investigation into Berger replete with allegations of misappropriation of funds and stealing from elderly clients, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


James E. Rooney, of Fox Financial and of Carrollton, Texas, allegedly failed to supervise a registered rep who took part in two private securities transactions of so-called “tax deductible installment plans” issued by the National Foundation of America (NFOA), according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Lee Robert Sobel, who was associated with Equinox Securities, Inc from February 2013 through August 2013, allegedly failed to appear and provide investigative testimony on two occasions as per FINRA’s request, according to said Complaint. (Read complete broker profile here)


Michael Tepedino failed to cooperate with a FINRA investigation into his alleged undisclosed outside business activity with Allstate, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). On August 25, 2014, Allstate terminated Tepedino’s employment, according to the AWC. (Read complete broker profile here)


Julius Franklin Kenney refused to appear for testimony in connection with a FINRA investigation relating to his alleged undisclosed business activity, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC). (Read complete broker profile here)


Craig L. Josephberg, of New York City, allegedly took in millions from investors while running an intricate pump-and-dump scheme involving shares of a medical education company, CodeSmart, and two other microcap stocks, according to recent SEC Documents currently under review by attorneys Joe Peiffer and Alan Rosca. (Read complete broker profile here)


James Michael Ham allegedly refused to appear for testimony regarding an investigation into a customer deposit of approximately $170,000, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Ronald Seth Cohen allegedly took part in three outside business activities without providing the proper prior notice to his member firm, Morgan Stanley, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Anthony Gary Epps reportedly participated in private securities transactions by allegedly investing $190,000 in a privately held start-up known as NHJ, a privately held entity, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Jennifer J. Trowbridge allegedly made unsuitable recommendations and effected unsuitable sales and purchases in seven customer accounts, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


David J. Blasik allegedly sold private securities offerings (or private placements) without approval from his brokerage firm, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Allen Michael Green allegedly recommended unsuitable investments, such as long-term held Non-traditional ETFs and metal bound investments, to most customers relying on his belief that the world was soon to suffer an economic collapse, according to a Complaint from FINRA’s Department of Enforcement. (Read complete broker profile here)


Joshua Ray Abernathy was charged with mail fraud and charged with conducting an unlawful monetary transaction in U.S. federal court. (Read complete broker profile here)


Giovanni Acevedo allegedly converted customer funds, according to FINRA documents. (Read complete broker profile here)


Steven J. Dunkelberg misappropriated about $5K from a customer’s account whilst he worked at Fifth Third Bank, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Wendy A. Wurst failed to reasonably supervise one of her firm’s involvment with three outside businesses that operated as unregistered broker-dealers, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Gregory R. Swenson placed orders for securities primarily in initial public offerings (IPOS) for corporate bonds for an unregistered proprietary trading firm (Firm G), according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Jerry Irvin Chancy was barred from the financial industry based on allegations that Chancy engaged in unapproved and undisclosed outside business activity, according to a FINRA Letter of Acceptance, Waiver, and Consent (AWC). (Read complete broker profile here)


Roger Kumar was suspended and fined for engaging in unauthorized outside business activities, specifically running three unregistered entities that acted as broker-dealers, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Isaiah Goldman and Brock Catronio dealt in illegal, off-exchange retail commodity transactions, according to the U.S. Commodity Futures Trading Commission (CFTC). (Read complete broker profile here and here)

Jason Muskey pleaded guilty to a $2 million dollar Ponzi  scheme involving mail fraud, money laundering, and identity theft, and forging his clients’ signatures, stealing their investments, and then fooling them with false documents in federal court in Scranton. (Read complete broker profile here)


Moazzam “Mark” Malik a purported hedge fund manager in New York City, was charged by the Securities and Exchange Commission (SEC) with allegedly stealing money from his investors, according to recently released SEC documents. (Read complete broker profile here)


Joseph Hooper allegedly sold $3.4 million worth of stock in a company called iPractice Group, Inc. which shut down, earning $425,000 in commissions. (Read complete broker profile here)


 

Jacqueline Stanfill has been accused by more clients of siphoning millions and spending it on a lavish lifestyle, according to Court records. (Read complete broker profile here)


Redonda Russell allegedly siphoned funds from her company’s inactive accounts, and is now serving a sentence of a year and a day in federal prison, according to court documents. (Read complete broker profile here)


Jacob Cooper is looking at a fresh set of fraud charges after he allegedly attempted to misappropriate client funds to settle an earlier fraud case with the SEC, according to a new complaint. (Read complete broker profile here)


Michael Evangelista allegedly referred approximately six of his firm customers to a third party, away from his Associated BDs and RIA, receiving a minimum of $50,000 in compensation related to these referrals, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Malcolm Segal allegedly transferred money via wire from a client’s account, according to FINRA records. (Read complete broker profile here)


Jon L. Cox was terminated for “violation of firm policy regarding outside business activities,” according to a recent Complaint from FINRA’s Department of Enforcement. (Read complete broker profile here)


Jeffrey Noard allegedly made an unsuitable recommendation in GWG Renewable Secured Debentures for investments totaling $20,000, according to a Complaint from FINRA’ Department of Enforcement. (Read complete broker profile here)


Jason W. Cox has been charged by a federal grand jury with allegedly structuring cash withdrawal transactions, and with mail and wire fraud in an indictment returned in Columbus, according to court reports. (Read complete broker profile here)


Raymond T. Clark allegedly engaged in both excessive trading and unauthorized trading of his customers’ accounts, according to a Complaint from the FINRA Department of Enforcement. (Read complete broker profile here)


Marc W. Evans allegedly participated in private securities transactions for compensation without prior approval from his member firm, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Patrick Richard Harrison allegedly engaged in private securities transactions and made misrepresentations to customers regarding said transactions, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)

 

Geoffrey W. Nehrenz is currently being accused of allegedly defrauding investors in Keystone out of $5.5m, according to documents from the United States Attorney for the Northern District of Ohio. (Read complete broker profile here)


Kirsten Flynn Hawkins allegedly created a scheme to defraud and obtain money though false representations and promises. (Read complete broker profile here)


Daniel McCourt while registered with a FINRA member firm, allegedly participated in private securities transactions without providing prior written notice to his member firm. (Read complete broker profile here)


Allan Jeffrey Corby engaged in an outside business that was inconsistent with previous representation to the firm, and thus resulted in his termination, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC). (Read complete broker profile here)


Jason Robert Melando allegedly engaged in an outside business that was inconsistent with previous representation to the firm according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC). (Read complete broker profile here)


Jia Cai Lewin participated in private securities transactions by soliciting at least one J.P. Morgan customer to invest in three Chinese pharmaceutical-related companies without JPM’s knowledge or approval, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Irvin Wayne Brewer participated in an outside business activity, New Life, without providing prior written notice to and receiving approval from his member firm, according to FINRA documents. (Read complete broker profile here)


Greg Campbell allegedly misappropriated over $1.7 million from Merrill customers, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Noah Myers the sole owner of MiddleCove Capital, LLC engaged in fraudulent trading practices known as “cherry picking,” according to SEC documents. (Read complete broker profile here)


Derek Brice Radzikowski allegedly engaged in outside business activities without providing proper written notification to his broker-dealer, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


James Gregory Nixon allegedly accepted improper gifts including $5,000 in loans and $7,000 in monetary gifts from customers from his member firm. (Read complete broker profile here)


Sanjay Goswami allegedly engaged in outside business activity without notifying his member firm. (Read complete broker profile here)


Michael Donnelly was barred by FINRA for allegedly converting customer accounts, and failing to comply with a FINRA investigation. (Read complete broker profile here)


Scott Brittenham and his company Clean Energy Capital LLC have been charged by the U.S. Securities and Exchange Commission (SEC) with allegedly improperly shifting expenses to investment funds they manage. (Read complete broker profile here)


Nicholas Schorsch is under investigation by the secretary of the Commonwealth of Massachusetts, regarding Realty Capital Securities, the wholesaling broker-dealer arm of Mr. Schorsch’s nontraded real estate trust empire. (Read complete broker profile here)


David Michael Levy has been, allegedly, “churning” 24 customer accounts, according to FINRA documents. (Read complete broker profile here)


George Wayne Hoffman allegedly converted funds from an elderly customer, falsified letters of authorization submitted in connection with the conversion, borrowed funds from customers without obtaining prior approval from H. Beck, Inc. and failed to provide information and testimony in connection with a related FINRA investigation. (Read complete broker profile here)


James E. Poe allegedly failed to provide prior written notice to, or receive written acknowledgment from, his member firm regarding his roles with two hedge funds, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Michael Dinerman allegedly engaged in outside business activity by performing CFO duties of a startup biotechnology company for over thirteen months sans proper prior written notice to his member firm according to FINRA. (Read complete broker profile here)


Chase Bishop Casson refused to provide pertinent information to FINRA while he was being investigated for allegedly engaging in private securities transactions according to a FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


John “J.C.” Hanson allegedly misappropriated more than $300,000 from at least two firm customers, according to FINRA. (Read complete broker profile here)


Frederick V. McMenimen allegedly committed one count of mail fraud, one count of money laundering and three counts of federal income tax evasion, according to FBI documents. (Read complete broker profile here)


J. Michael Casas solicited clients for capital based upon material misrepresentations, and then also allegedly proceeded to misappropriate a majority of invested funds to pay for his own personal expenses, according to a Complaint from FINRA. (Read complete broker profile here)


Ralph Irwin Pence engaged in outside business activities without proper prior written notice to his member firm, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC). (Read complete broker profile here)


Lynn A. Simon allegedly ran an Indiana-based Ponzi scheme that swindled four investors, according to reports from the Indiana Secretary of State. (Read complete broker profile here)


Benjamin Doyle Maleche allegedly engaged in the sale of an investment company known only as TT, which offered funds comprised of pre-IPO shares, according to FINRA. (Read complete broker profile here)


Radcliffe Daly allegedly mismarked a large number of order tickets for solicited transactions as unsolicited, took part in private securities transactions without providing proper written notice to AFS, and also “exercised discretion in customer accounts without written authorization,” according to FINRA documents. (Read complete broker profile here)


William Charlton Mays allegedly solicited a customer to invest $50,000, making false statements, according to a Complaint filed by the FINRA Department of Enforcement. (Read complete broker profile here)


Michael John Smeriglio allegedly converted customer funds and failed to provide the documents and information that were requested by FINRA. (Read complete broker profile here)


Edward Stringer Samson allegedly participated in private securities transactions without providing prior written notice to nor obtaining prior written approval from his former firm. (Read complete broker profile here)


Levi Lindemann reportedly solicited six elderly Wisconsin investors in an alleged $1M Ponzi Scam, according to SEC documents. (Read complete broker profile here)


Lee C. Schlesinger allegedly collaborated, alongside others, to manipulate trading in the stock of Treaty Energy Corporation, according to a SEC Complaint. (Read complete broker profile here)


Paul White allegedly conned investors by promising federal tax benefits in commercial real estate transactions, according to the Suffolk County District Attorney’s Office. (Read complete broker profile here)


Khaled A. Eldaher and Efstratios “Elias” Argyropoulos are being investigated by the Peiffer Rosca Wolf investment recovery lawyers in connection with their alleged sales of pre-IPO Twitter and Facebook shares. (Read complete broker profile here and here)


Timothy S. Dembski and Walter F. Grenda the duo allegedly guided their clients to invest their hard earned cash into a risky hedge fund. (Read complete broker profile here and here)


Joseph A. Giordano allegedly helped in raising more than $7 million by making false and misleading statements exaggerating the safety and low risk of the purported bonds from Empire Corporation, according to SEC reports. (Read complete broker profile here)


Christopher Moran allegedly failed to supervise Miles Bahl and Conrad Huss regarding the solicitation and sale of over $3 million worth of promissory notes in a private offering to 17 of Bahl’s customers, according to the FINRA Department of Enforcement. (Read complete broker profile here, here and here)


Bill C. Crafton Jr. allegedly took undisclosed payoffs to pump up a Ponzi scheme, according to SEC reports. (Read complete broker profile here)


Brian Lewis Pittman participated in private securities transactions offered by Quest Energy Management Group, Inc. which had not been approved for sale by his member firm. (Read complete broker profile here)


Thomas Edmund Connors allegedly charged a $399 fee to 47 separate customers who opened accounts through him, according to a Complaint filed by FINRA’s Department of Enforcement. (Read complete broker profile here)


Ted Wayne Cadwallader allegedly failed to cooperate with a FINRA investigation related to private securities transactions and outside business activity disclosures. (Read complete broker profile here)


Howard Present was charged by the SEC with making false and misleading statements to investors as the public face of F-Squared. (Read complete broker profile here)


Bryan W. Anderson was charged with alleged fraud and money laundering in connection with an illegal Ponzi scheme in which investors reportedly lost more than $3 million. (Read complete broker profile here)


Jack Lawrence Howard purchased stock while in possession of material nonpublic information, according to a complaint filed by the Financial Industry Regulatory Authority’s Department of Market Enforcement. (Read complete broker profile here)


John Leonard Ahramjian allegedly falsified documents by signing his customers’ names, according to FINRA. (Read complete broker profile here)


Steven R. Segerman was accused of selling an investment in the variable annuity without fully discussing it with his customer and causing his firm to maintain incorrect books and records. (Read complete broker profile here)


Jonah Engler, Brett Ian Friedberg, Jonathon Michael Sheklow, Joshua William Turney, Hector Perez fraudulently sold a total of nearly $3 million worth of Senior Secured Zero Coupon Notes issued by Metals, Milling and Mining LLC in a private placement, according to the FINRA.


David Kristian Evansen is barred from the securities industry due to Evansen’s failure to comply with FINRA’s investigation concerning Evansen’s alleged misconduct. (Read complete broker profile here)


Jonathan “Jay” Brooks is accused of selling unregistered securities to establish Compass Academy, a private school, and using the funds from those sales for his personal use. (Read complete broker profile here)


Glen E. Woodard sold Equity Indexed Annuities (“EIAs”) without informing his firm of such sales, according to the Financial Industry Regulatory Authority (“FINRA”). (Read complete broker profile here)


Stephen S. Lard allegedly recommended and sold unsuitable investments to his customers, according to FINRA. (Read complete broker profile here)


Richard Edward Holliday is barred from the securities industry after being accused by the FINRA of borrowing money from his customers. (Read complete broker profile here)


Matthew J. Davis was barred from the securities industry by FINRA regarding allegations that he had engaged in misconduct in several customer accounts. (Read complete broker profile here)


Claude Darrell McDougal pled guilty to securities fraud for orchestrating a Ponzi scheme that took over $2.5 million from investors, according to court documents. (Read complete broker profile here)


Matthew A. Bell has been accused by the SEC with committing securities fraud relating to a series of pump and dump schemes. (Read complete broker profile here)


Craig L. Josephberg is accused of allegedly committing securities fraud relating to a series of pump and dump schemes, according to a complaint filed by the SEC. (Read complete broker profile here)


George Mina Zaki was sanctioned by the FINRA in connection with allegations of exercising discretionary power in non-discretionary accounts. (Read complete broker profile here)


Mark Holt allegedly took part in a fraudulent Ponzi scheme that resulted in an estimated $2 million loss and included many elderly senior citizens, according to regulatory reports. (Read complete broker profile here)


Damien Alexander was barred by FINRA relating to allegations the he engaged in undisclosed outside business activities and private securities transactions away from his member firm. (Read complete broker profile here)


John Montague was charged with allegedly defrauding his clients of more than $900,000 by utilizing their checks for personage usage. (Read complete broker profile here)


Harlan Kleiman was sanctioned by FINRA regarding allegations that he failed in his supervisory duties. (Read complete broker profile here)


Jeffrey Watts was charged with allegedly defrauding at least 45 of his investors of $5.8 million in an oil and gas Ponzi scheme. (Read complete broker profile here)


John W. Handy, Jr., Jonathan C. Timson, and Dennis R. Walker allegedly failed to disclose their control of a registered investment adviser, SignalPoint Asset Management, LLC, and their conflicts of interest in recommendations made to clients, according to the SEC.


Dennis H. Daugs and his company Lakeside Capital Management LLC were charged with defrauding clients and abusing their provided assets in order to make personal loans, used for buying a vacation home and a vintage automobile, according to the SEC. (Read complete broker profile here)


Thomas D. Renison was charged by the SEC with fraudulent and deceptive conduct towards the clients he advised. (Read complete broker profile here)


Michelle Kern has pleaded guilty to financial advisor fraud, and was sentenced to 46 months in prison and ordered to pay restitution. (Read complete broker profile here)


Donna Jesse Tucker misappropriated funds from elderly customers, according to complaint filed by the Securities and Exchange Commission. (Read complete broker profile here)


Sean M. McDermott was charged with not adequately supervising another registered representative, Kevin Hamilton which allowed Hamilton to defraud investors, as per the FINRA report.


Michael J. Spak, Joseph C. Spak, John Najarian and Peter Zuck are being held liable for more than $55 million in investor restitution, civil penalties, and disgorgement, after being accused of of orchestrating a massive securities fraud scheme, according to the according to the New Jersey Division of Consumer Affairs and the Bureau of Securities.


Sean Meadows has been accused of orchestrating a $10 million Ponzi scheme, according to an indictment issued by a federal grand jury. (Read complete broker profile here)