KYLE PATRICK HARRINGTON (KYLE HARRINGTON) CRD#: 2282328, a broker formerly with AURORA CAPITAL LLC of BRIDGEHAMPTON, NY, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm for allegedly converting a client’s funds.  Harrington was ordered to pay $105,000, plus interest, in restitution to his member firm and ordered […]

RALPH WILLARD SAVOIE (CRD#: 411660) was charged December 22, 2017, with one count of wire fraud. Savoie, based in Louisiana, has been charged with defrauding clients by using the clients’ money for his own personal expenses, to pay off other investors, and to invest in a high-risk real estate venture. According to the court filing, […]

KIRSTEN F. HAWKINS (CRD# 2509324) a 45 year-old Staunton, Virginia financial advisor, has admitted to wire fraud and agreed to make restitution of $500,000. According to the U.S. attorney's office, Kirsten Flynn Hawkins was employed at Bank One in Staunton, Virginia, from August 2011 to August 2014, and Hawkins transferred funds to her own personal […]

Joseph Brandon Westphal (CRD #4769381, Tampa, Florida) was barred by FINRA for failure to respond to FINRA requests to provide documents and information. FINRA's findings stated that FINRA was investigating allegations by Joseph Westphal’s previous member firm that he opened multiple accounts without approval, had stolen funds, and had committed serious ethical violations. (FINRA Case […]

A Milton, Massachusetts broker, Arnett Waters, pleaded guilty to 16 counts of securities fraud, mail fraud, money laundering and obstruction of justice. He was sentenced to 17 years in prison in April. Arnett Waters is now in Federal Prison in North Carolina. Recently, a settlement was reached in a civil case against Waters. Under this […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Carlos Mark Silva (CRD #5913918, Registered Representative, Bridgeport, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Silva consented […]

Carlos Dawkins aka Andy Dawkins (CRD #5340915, Registered Representative, Douglasville, Georgia) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Dawkins consented to the described sanction and to the entry of findings that he improperly shared […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the findings, Narrine consented […]

Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida)   was barred from association with any FINRA member in any capacity.   This sanction was based on findings that Taber intentionally converted or misappropriated customer funds. These findings stated that Taber discussed with a customer an investment that would yield a 15 percent rate of return […]