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February 28, 2012
Palm Harbor, FL, Rep Barred by FINRA

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Neal Seth Smalbach (CRD #1459854, Registered Principal, Palm Harbor, Florida)   submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the allegations, Smalbach consented to the described […]

February 9, 2012
Miami Rep Fined and Suspended by FINRA

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)   submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately […]

February 7, 2012
Florida Rep Barred by FINRA

The following information was found on FINRA's website's "Disciplinary Actions, January 2012."   Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with ny FINRA member in any capacity. Without admitting or denying the findings, Counts consented to the […]

December 30, 2011
Did you Invest with Jason May?

Former Ameriprise broker, Jason May (CRD# 4255401), in Delray Beach and Boynton Beach, Florida, has been barred for life by FINRA for failing to respond to FINRA requests for information after he was suspended for 60 days.   Our investigation has uncovered that Mr. May may have encouraged his clients to take out loans through a […]

November 15, 2011
FINRA Complaint Filed Against Andrew Arno, West Melbourne FL

Andrew Paul Arno (CRD #2643104, Registered Representative, West Melbourne, Florida) was named as a respondent in a FINRA complaint alleging that he misused customers’ funds by depositing them into a bank account that he controlled instead of investing them in IRAs as he had represented to the customers and their relatives. The complaint alleges that […]

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