Broker Steve Whittaker Suspended By FINRA Over Alleged Outside Business Activities, Involved In FFEC Client Dispute Evidently, the Financial Industry Regulatory Authority (FINRA) issued a 3-month suspension and $5,000 fine to securities broker Stephen Leroy Whittaker (“Steve Leroy Whittaker”) (CRD#: 831764, Surprise, Arizona). Namely, Whittaker allegedly engaged in an outside business activity without telling First […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]

Raymond James' Michael Biedny Fined By FINRA And Accused Of Sales Practice Violations The Financial Industry Regulatory Authority (FINRA) reportedly issued a suspension and fine to securities broker Michael Alan Biedny (CRD#: 867868, Clarence, New York). This is to resolve allegations of Biedny violating a FINRA rule by concealing money he received from a senior […]

Broker Wes Patterson Gets Suspended By FINRA For Selling Away The Financial Industry Regulatory Authority (FINRA) reportedly suspended securities broker Micah Wesley Patterson (“Wes Patterson”) (CRD#: 5562392, Layton, Utah), who worked for securities firms Northwestern Mutual Investment Services, MML Investors Services LLC (2014 to 2017), and most recently, Hornor Townsend Kent LLC (2017 to 2020). […]

FINRA, Investors Allege Misconduct By American Wealth Management Securities Broker Jason Seale The Financial Industry Regulatory Authority (FINRA) reportedly issued securities broker Jason Lee Seale III (CRD#: 1874548, Novato, California) a suspension and fine for allegedly making discretionary trades in four client accounts at American Wealth Management Inc. In addition, five investors filed disputes about […]

On November 17, 2021, Albert Lewis DeGaetano (Albert L DeGaetano) was fined $7,500.00 and suspended for six months (12/6/2021 - 6/5/2022) by the Financial Industry Regulatory Authority (FINRA). Without admitting or denying FINRA’s findings, Albert L DeGaetano consented to the sanctions and to the entry of findings that he allegedly executed securities transactions in client […]

Soreide Law Group obtained this information on the following broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” October 2021: ALFONSE JOSEPH STAZZONE (ALFONSE JOSEPH STAZZONE JR., CRD #4908107, Staten Island, New York) On August 16, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which ALFONSE J STAZZONE was fined $5,000 and […]

FINRA Issues Suspension To Broker Hector Ramos To Resolve Allegations Of Unsuitable Recommendations Financial Industry Regulatory Authority ("FINRA") BrokerCheck provides you with important information about securities broker Hector Ramos (CRD#: 4172477, Brandon, South Dakota). Notably, FINRA sanctioned Ramos twice, and an investor complained about him. Here's more. FINRA Suspends Hector Ramos In 2020 For Allegedly […]