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FINRA Discipline Actions May 2021 | Colling Gilbert Wright and Carter

FINRA Disciplinary Actions May 2021

June 16, 2021
Posted in: Securities Fraud

FINRA is a government-authorized not-for-profit organization that oversees broker-dealers in the United States. FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; the rules of the Municipal Securities Rulemaking Board; and federal securities laws, rules, and regulations.

At Colling Gilbert Wright, our accomplished securities fraud attorneys have extensive experience in a wide range of cases involving securities and stockbroker fraud. If you have suffered damages as the result of any type of fraud, our firm can help. We have the knowledge, skill, and business savvy necessary to effectively pursue the money you deserve.

Our firm is committed to holding firms and individuals accountable for their fraudulent actions. As part of that commitment, we will share monthly updates of those who have received disciplinary actions from FINRA.

Below are FINRA’s disciplinary actions for May 2021:

FINRA Firm Disciplinary Actions May 2021

  1. Nolan Securities Corp. (CRD® #27984, Monterey, Massachusetts) and Bruce Paul Kelly (CRD #1385457, Monterey, Massachusetts)
  2. American Independent Securities Group, LLC (CRD #135288, Eagle, Idaho), Ryan Shane Carlson (CRD #4209072, Meridian, Idaho), and Nicholas William Cioffi (CRD #1090646, Centerville, Idaho)
  3. TradeStation Securities, Inc. (CRD #39473, Plantation, Florida)
  4. ITG, Inc. NKA Virtu ITG LLC (CRD #29299, New York, New York)
  5. Aegis Capital Corp. (CRD #15007, New York, New York)
  6. Dalmore Group LLC (CRD #136352, Woodmere, New York)
  7. Citadel Securities LLC (CRD #116797, Chicago, Illinois)
  8. Cambridge Investment Research, Inc. (CRD #39543, Fairfield, Iowa)
  9. J.W. Cole Financial, Inc. (CRD #124583, Tampa, Florida)
  10. Securities America, Inc. (CRD #10205, La Vista, Nebraska)
  11. Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York)

FINRA Individual Disciplinary Actions May 2021

  1. Rhett Douglas Bedwell (CRD #5664392, Bentonville, Arkansas)
  2. Ryan Owen Tarjanyi (CRD #6065805, Huber Heights, Ohio)
  3. Nedjeen Baptiste (CRD #6308317, West Palm Beach, Florida)
  4. Mayur T. Dalal (CRD #1853077, Jericho, New York)
  5. George Marshall Warner (CRD #2300570, Rowlett, Texas)
  6. Anne McCutcheon Crivelli (CRD #7038473, Irving, Texas)
  7. Corey Andrew White (CRD #4537015, Newbury Park, California)
  8. Travis Scott Hughes (CRD #7136761, Houston, Texas)
  9. Chad T. Mackland (CRD #4933804, Council Bluffs, Iowa)
  10. William James Novack (CRD #1181334, Monticello, Indiana)
  11. Stephen Joseph Stancarone (CRD #4373958, Thornwood, New York)
  12. Jeremy Taylor Johnson (CRD #7074043, Murrieta, California)
  13. Louise Jones (CRD #1254936, Atlantic Highlands, New Jersey)
  14. Yegor S. Kashirsky (CRD #4791076, New Hope, Pennsylvania)
  15. Lang Phu Nguyen (CRD #6526189, Algonquin, Illinois)
  16. Richard Scott Shelley (CRD #2671545, Palm City, Florida)
  17. Ernest Domenic Kappotis (CRD #4871251, Peabody, Massachusetts)
  18. Jeffrey David Stanga (CRD #6387255, Aliso Viejo, California)
  19. Michael Keith Napier (CRD #4811092, Lawrence, Kansas)
  20. Robert Benjamin Caiati Sr. (CRD #1444266, Morganville, New Jersey)
  21. Robert Lee Riviere (CRD #500327, Austin, Texas)
  22. Tonya Nicole Smoake (CRD #4985049, Englewood, New Jersey)
  23. Carlos Ricardo Sosa (CRD #7153226, San Antonio, Texas)
  24. Trevor Bradner Rahn (CRD #2196155, West Hollywood, California)
  25. Edmund Roger Zack (CRD #2215116, West Hempstead, New York)
  26. Allan Katz (CRD #2166004, Staten Island, New York)
  27. Mark Larry Delgadillo (CRD #1436842, Goleta, California)
  28. John O’Bannon (CRD #6737306, Des Moines, Iowa)
  29. Daniel Weimer (CRD #1859854, Mars, Pennsylvania)
  30. Grace Marie Casella (CRD #7233781, Newark Delaware)
  31. Riaz Husain Haidri (CRD #2542194, Chatham, New Jersey)
  32. Corey Alexander Johnson (CRD #5752206, Centereach, New York)
  33. Christopher Joseph Nelson (CRD #6674139, Howard Beach, New York)
  34. Victor A. Rigoni III (CRD #4272056, Antioch, Illinois)
  35. Jeffrey Alan Fladell (CRD #209278, Boca Raton, Florida)
  36. Scott Richard Reynolds (CRD #2705340, Miami Beach, Florida)
  37. Chad Thomas Crawford (CRD #4257257, Pinckney, Michigan)
  38. Herbert Garrett Frey (CRD #214237, Cincinnati, Ohio)
  39. Keith R. Holcomb (CRD #6227200, Pawtucket, Rhode Island)
  40. Gordon Leonard Bryan (CRD #1292315, Terre Haute, Indiana)
  41. Colin G Woolford (CRD #6512956, New York, New York)
  42. Jiacheng Zhou (CRD #7043791, New York, New York)
  43. Ignacio Erhart Del Campo (CRD #6084596, Montevideo, Uruguay)
  44. Jason Vincent McHenry (CRD #6276756, Beaumont, California)
  45. Candice E. Montie (CRD #4726799, Fenton, Michigan)

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