Gabriel Block Allegedly Engages In Excessive Trading Of A Customer’s Account

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Gabriel Block was a New Jersey-based securities broker. He worked in the securities industry for twenty-seven years. During his career, he was registered with nine different securities firms. His registrations included; Merrill Lynch (1990-1994), Smith Barney (1994-1995), JW Charles Securities (1995-1996), First Union Capital Markets Corp. (1997-1999), Morgan Stanley (1999-2004), Janney Montgomery Scott (2004-2008), Oppenheimer & Co. (2008-2014), National Securities Corporation (2014-2016), and First Standard Financial Company (2016-2018). He is no longer working as a registered securities broker in any fashion. Gabriel Block’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of…

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Edward Beyn Barred From Acting As A Securities Broker In Any Fashion Following Accusations Of Churning

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Edward Beyn was a New York-based securities broker. He worked in the securities industry for seven years. During his career, he was registered with six different securities firms. His registrations included; Pointe Capital (2008), Clark Dodge & Co. (2008-2009), JHS Capital Advisors (2009-2010), Brookstone Securities (2010-2012), Craig Scott Capital (2012-2015), and Rothschild Lieberman (2015-2016). He is no longer working as a registered securities broker in any fashion. Edward Beyn’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In August 2014, a customer alleged fraud, negligent misrepresentation, unsuitability, violations of…

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William Gennity Allegedly Churns His Client’s Account

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William Gennity was a New York-based securities broker. He worked in the securities industry for twelve years. During his career, he was registered with seven different securities firms. His registrations included; Joseph Stevens & Company (2005-2006), J.P. Turner & Company (2006, 2009-2010), Mercer Capital (2006), National Securities Corporation (2006-2009, 2010-2011), Legend Securities (2011-2012), Alexander Capital (2012-2014), and First Standard Financial Company (2014-2018). He is no longer working as a registered securities broker in any fashion. William Gennity’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In July 2017, a…

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Multiple Customers Accuse Scott Donato Of Unsuitability With Respect To Investments Made On Their Behalf

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Scott Donato was a Florida based securities broker. He worked in the securities industry for twenty-three years. He spent his entire career registered with Morgan Stanley. He is no longer working as a registered securities broker in any fashion. Scott Donato’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In September 2001, customers alleged that Donato made common law and statutory securities violations. This case went to arbitration where the customer was awarded $125,000 in damages. In June 2014, a customer alleged unsuitability with respect to option investments in…

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Dennis Hayes Allegedly Improperly Advised A Customer On Several Investments

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Dennis Hayes was a New York-based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with eight different securities firms. His registrations included; AAL Capital Management Corporation (2001-2002), Veravest Investments (2003), Equity Services (2003-2005), MML Investors Services (2005-2006), Capital Investment Group (2006-2009), NFP Securities (2009-2010), Newbridge Securities Corporation (2010-2016), and Salomon Whitney Financial (2017). He is no longer working as a registered securities broker in any fashion. Dennis Hayes’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In August 2016, a…

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Erryn Barkett Allegedly Sells Unregistered And Unsuitable Securities To Multiple Customers

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Erryn Barkett was a Virginia based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with four different securities firms. His registrations included; AXA Advisors (2000-2007), NFP Securities (2007-2008), Next Financial Group (2008-2013), and LPL Financial (2013-2017). He is no longer working as a registered securities broker in any fashion. Erryn Barkett’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In February 2014, a customer alleged that Barkett sold her fraudulent securities. This case was settled for $170,000 in damages. In…

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Paul Blum Allegedly Makes Numerous Unsuitable Investment Recommendations To Invest In The Energy Sector

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Paul Blum was a Florida based securities broker. He worked in the securities industry for thirty-four years. During his career, he was registered with three different securities firms. His registrations included; J.B. Hanauer & Co. (1981-1990, 1991-2009), Prudential-Bache Securities (1990-1991), and RBC Capital Markets (2009-2015). He is no longer working as a registered securities broker in any fashion. Paul Blum’s publicly available FINRA BrokerCheck report shows that he has received numerous customer complaints over the course of his career. He received four complaints throughout 1995 all from customers alleging that he misrepresented the details of plaid clothing bonds and that these…

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Robert Stefanelli Allegedly Churns His Client’s Account

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Robert Stefanelli is a New York-based securities broker. He has worked in the securities industry for twenty-three years. During his career, he has been registered with five different securities firms. His registrations include; Commonwealth Associates (1996), Argent Securities (1996-1997), J.P. Turner & Company (1997-2010), Legend Securities (2010-2012), and Alexander Capital (2012-Present). Robert Stefanelli’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In July 2009, a customer alleged unsuitable transactions and negligence. In December 2016, a customer alleged excessive trading and excessive use of margin. In April 2018, a customer…

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Jesus Rodriguez Allegedly Breaches His Fiduciary Duty

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Jesus Rodriguez was a Florida based securities broker. He worked in the securities industry for twenty years. During his career, he was registered with just two different securities firms. They were Securities America (1997-2000) and IMS Securities (2000-2017). He is no longer working as a registered securities broker in any fashion. Jesus Rodriguez’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In September 2012, a customer alleged that Jesus Rodriguez breached his fiduciary duty and acted negligently when handling their account. This case was settled for $90,000 in damages….

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Jimmy Makris Receives Multiple Complaints Regarding Suitability

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Jimmy Makris was a Florida based securities broker. He worked in the securities industry for twenty-seven years. During his career, he was registered with seven different securities firms. His registrations included; Argus Securities (1987), Kanon Bloch Carre & Co. (1989-1990), Merrill Lynch (1990-1991), Dean Witter Reynolds (1991-1993), Continental Capital Investment Services (1993-2003), Berthel, Fisher & Company (2003-2007), and Calton & Associates (2007-2017). He is no longer working as a registered securities broker in any fashion. Jimmy Makris’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In January 2014, a…

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