FINRA Banishes Merrill Lynch’s Christopher Hellman For Stonewalling Investigation The Financial Industry Regulatory Authority (“FINRA”) barred Merrill Lynch securities broker Christopher Charles Hellman (CRD#: 6584084, Boca Raton, Florida) for failing to provide information to FINRA during its investigation of Hellman’s possible private securities transactions and outside business activities. Evidently, Mr. Hellmann submitted a Letter of […]

FINRA Bars Morgan Stanley’s Stewart Malloy For Failure To Testify In Investigation Stewart Clinton Malloy (CRD#: 1029931, Riverhead, New York) is a now-terminated Morgan Stanley broker who the Financial Industry Regulatory Authority (“FINRA”) barred on January 19, 2019 for his failure to attend an on-the-record interview during an investigation into his trading practices. Evidently, FINRA’s […]

Soreide Law Group, based in Florida, obtained the following information from the May 2018 Disciplinary Report on FINRA’s website regarding Florida broker: David Warren Olson (CRD #1700644, Largo, Florida) Olson was barred by FINRA in all capacities for allegedly refusing to provide complete documents and information requested by FINRA during an investigation into allegations that […]

Soreide Law Group obtained the following from FINRA’s website under, “Discipline and Other FINRA Actions June 2017.”  Ronald Dale Broadstone (CRD #1043159, Columbus, Ohio) was barred from association with any FINRA member in all capacities for allegedly refusing to respond to FINRA’s questions during on-the-record testimony in connection with its investigation into whether he had […]

Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck: ERIC S. DARTY (ERIC DARTY) CRD#: 6314905 a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct. The FINRA report stated that ERIC DARTY […]

Sergey Pustelnik (CRD #4439199, Jersey City, New Jersey) was barred by FINRA for refusing to produce FINRA requested emails in his possession, custody and control, as part of an investigation into, among other things, certain suspicious trading activities occurring through a member firm. FINRA's findings stated that Pustelnik refused to produce a copy of a […]

Michael Gregg Lieberman (CRD #5266225, Huntersville, North Carolina) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information regarding an investigation into allegations that he may have converted approximately $1.4 to $1.6 million of his member firm’s funds. The findings stated that Lieberman informed FINRA that he would not cooperate with FINRA’s […]

Chase Bishop Casson (CRD #4404195, Carlsbad, California) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation as part of an investigation into whether he was engaged in private securities transactions. FINRA's findings stated that after receiving a fourth request, Casson informed FINRA that he would not cooperate or provide […]

Blair Christopher Mielke(CRD #1878222, Evansville, Indiana) and Frederick William Shultz(CRD #5239977, Evansville, Indiana) were barred by FINRA for allegedly participating in undisclosed private securities transactions, engaging in undisclosed outside business activities, and failure to report their outside business activities to their firm. FINRA's sanctions also alleged that Shultz and Mielke failed to respond to FINRA’s […]