Raymond James Settles Customer Arbitration for broker Mitchell Silverman Mitchell Louis Silverman (CRD #500504, Boca Raton, Florida), who has been a financial advisor of Raymond James & Associates, Inc. since May 3, 2002, disclosed via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities are the subject of a customer investment-related arbitration dated May 17, […]

MetLife’s Kelly Barnett Sanctioned For Trading Without Authorization Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida), who was a registered representative of MSI Financial Services from August 27, 2012 until being discharged on November 19, 2015, has consented to paying a $15,000.00 fine and being suspended by the Financial Industry Regulatory Authority (“FINRA”) from acting as a […]

FINRA Bars Broker Dealer Financial Corp’s Norman R. Sicard Jr. Norman R. Sicard Jr. (CRD #2269472, West Des Moines, Iowa), who was a registered representative of Broker Dealer Financial Services Corp. between May 26, 2011 and December 15, 2016, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]

FINRA Bars Pruco Representative For Converting Customer Funds Vaughn Lee Andrews-McKay (CRD #6491985, Shelton, Connecticut), who was a registered representative of Pruco Securities, LLC between August 25, 2015 and May 1, 2018, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms […]

FINRA Fines J.W. Cole Broker For Borrowing From Customer Michael T. Swingle (CRD #723350, Clearwater, Florida), who was a registered representative of J.W. Cole Financial, Inc. between August 29, 2007 and November 3, 2016, consented to paying a $5,000 fine and being suspended by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]

FINRA Fines Laidlaw & Company Ltd. Laidlaw & Company Ltd. (CRD #119037, New York, New York) is a broker-dealer registered with the Financial Industry Regulatory Authority (“FINRA”) that submitted a Letter of Acceptance, Waiver and Consent, resulting in FINRA imposing a censure and $25,000.00 fine to resolve allegations that Laidlaw failed to supervise its registered […]

FINRA Bars Brian Joseph Panfil Brian Joseph Panfil (CRD #4326407, Chicago, Illinois), who was a registered representative of Caldwell International Securities and Ridgeway & Conger, Inc., is now barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Default Decision issued by a […]

Gradient Securities Customers File Complaints Over Annuities Losses With Broker Jack Howard Owens Jr.  Jack Howard Owens, Jr. (CRD #2240940, Lady Lake, Florida), who has been registered with Gradient Securities, LLC between December 10, 2009 and June 1, 2018, disclosed via the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck his involvement in activities giving rise to […]

Gradient Securities LLC Representative Hit With Arbitration Case Glenn Patrick Lattz (CRD #1744697, Lady Lake, Florida), who was a registered representative of Gradient Securities, LLC from December 10, 2009 to June 1, 2018, disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that he has been named in a customer-initiated investment-related arbitration. (FINRA Arbitration Case #18-01227, […]