FINRA

Publicly available records published by FINRA and accessed on January 18, 2018 list more than a dozen investment representatives who were reported in December 2018 as barred from associating with Financial Industry Regulatory Authority member firms. The brokers enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, though it is important to bear in mind they did not admit or deny the alleged conduct. They include Brent Porges, sanctioned in connection with findings that as his firm’s chief operating officer and minority officer he failed to prevent excessive trading and churning in client accounts; Wilfred Rodriguez, sanctioned in connection with findings that he failed to provide FINRA with documents and information requested in its investigation into allegations he converted funds of foreign customers and concealed such by falsifying account documents; Tracy Lund, sanctioned in connection with findings she refused to provide information requested during a FINRA investigation into allegations she was terminated from her former employer while under review for “the apparent movement of personal funds” from her to a customer brokerage account; and Atiq Urrehman Khan, sanctioned in connection with allegations he “improperly inserted himself as the beneficiary” of the insurance policy of a client. Visit FINRA’s disciplinary actions homepage for more information.

Name Current/Former Employers
Brent Morgan Porges Newbrige Securities Corporation
Jon Richard Pariser Independent Financial Group
Kevin Peter Smith Morgan Stanley
Wilfred Rodriguez Jr. Wells Fargo Clearing Services
John Halsey Buck III Morgan Stanley
Larry Joe Templin Centaurus Financial
Chris Raymond Kubiak Calton & Associates
Tracy Michelle Lund Key Investment Services
John Scott Simoncic Financial West Group
Atiq Urrehman Khan TransAmerica Financial Advisors
Judith Ann Bufis Kovack Securities
Bruce Arnold Plyer International Assets Advisors
David Carl Ferwerda Signator Investors
John Paul Angelone Network 1 Financial Securities
Jonathan Scott Freehill RBC Capital Markets