FINRA Investigates LPL Financial Broker Cheryl Ann Stallings Cheryl Ann Stallings (CRD#: 1162913, Amarillo, Texas) is a past registered representative of LPL Financial LLC. Financial Industry Regulatory Authority (“FINRA”) disclosed on Stallings’s BrokerCheck file that as of July 27, 2018, it is investigating Stallings for purportedly misappropriating LPL Financial customer funds, falsifying statements to LPL […]

FINRA Affirms Bar Of PKS’ Gopi Krishna Vungarala For Fraud Gopi Krishna Vungarala (CRD#: 4856193, Midland, Michigan) has been a registered representative of Purshe Kaplan Sterling Investments from December 13, 2007 to February 21, 2017. Financial Industry Regulatory Authority (“FINRA”) National Adjudicatory Council has issued a Decision #2014042291901 on October 2, 2018 which affirms FINRA’s […]

Customers Allege UBS, Fernando Rivera Misrepresented Securities Fernando Luis Castillo Rivera (CRD#: 1260734, San Juan, Puerto Rico) has been a registered representative of UBS Financial Services Inc. since June 6, 1984. Rivera disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have led customers to file FINRA Arbitration #14-02509, alleging Rivera committed sales […]

Stifel Nicolaus Customer Sues Firm For Breach Of Fiduciary Duty Scott Alan Sanders (CRD# 3063288, Fort Myers, Florida) has been a registered representative of Stifel, Nicolaus & Company, Incorporated since January 15, 2009. Sanders disclosed on FINRA BrokerCheck that his activities led Stifel Nicolaus customers to file a customer-initiated investment-related arbitration dated July 9, 2018 […]

Customers File Suit Against Popular Securities For Unsuitable Trading Arturo Miguel Valldejuly Sastre (CRD# 2091688, San Juan, Puerto Rico) has been a financial consultant of Popular Securities LLC since May 21, 1997. Sastre disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have given rise to a pending customer-initiated investment-related arbitration dated July […]

J.P. Morgan’s Benjamin Johnson Barred For Impeding FINRA Investigation Benjamin S. Johnson (CRD #5742748, Columbus, Ohio) was a registered representative of J.P. Morgan Securities LLC between October 1, 2012 and February 17, 2017. Johnson consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member […]

FINRA Bars Benjamin Jerold Broker Juergen Weber Juergen Weber (CRD#: 2617323, New York, New York) has been a registered representative of Benjamin & Jerold Brokerage I, LLC between August 29, 2011 and July 25, 2018. FINRA barred Weber in all capacities pursuant to a Letter, Waiver and Consent (“AWC”) #2017056035501 executed on Sept. 5, 2018. […]

North Nassau Advisors Broker Brian Gimelson Guilty Of Tax Evasion Brian Frederick Gimelson (CRD#: 2262474, Princeton, New Jersey) was a registered representative of North Nassau Advisors LLC between June 12, 2014 and November 21, 2017. Gimelson recently pled guilty to two counts of attempting to defeat or evade tax in connection with the sale of […]

Morgan Stanley Broker Fined And Suspended For Settling Away Morgan Stanley Broker Fined And Suspended For Settling Away Lewis Howard Robinson (CRD #1630516, Aventura, Florida) has been a registered representative of Morgan Stanley between December 2, 2009 and October 9, 2015. Robinson consented to being suspended by Financial Industry Regulatory Authority (“FINRA”) and paying a […]