John Griner (CRD #: 1024669), a broker registered with Benjamin Edwards & Company, consented to a 15-day FINRA suspension, according to his BrokerCheck record, accessed on February 26, 2021. On January 7, 2021, John Griner entered into an Acceptance, Waiver & Consent agreement (AWC) in which he consented to the findings that he affected trades…

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Scott Reed (CRD #: 3007033), a previously registered broker and investment adviser with Wells Fargo in Scottsdale, Arizona, has been barred by Wells Fargo following FINRA allegations that he participated in outside securities transactions. This is according to his BrokerCheck record, accessed on March 1, 2021. On February 19, 2021, Scott Reed entered into an…

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Ron Paull (CRD #: 2968273), a broker registered with Cambridge Investment Research in Archbald, Pennsylvania, is involved in an investor dispute regarding unsuitable mutual fund investments, according to his BrokerCheck record, accessed on March 1, 2021. On January 27, 2021, investors alleged that Ron Paull recommended mutual funds and alternative investments that were unsuitable for…

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William Young (CRD #: 4787488), a broker registered with Kingswood Capital Partners in Rockville, Maryland, is involved in a dispute regarding risky investments, according to his BrokerCheck record, accessed on February 22, 2021. On January 28, 2021, investors alleged that William Young misrepresented risks associated with two types of risky investments: Real estate investments trusts…

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Christian Lucchetto (CRD #: 4648994), a broker registered with Arive Capital Markets, has been suspended by FINRA, according to his BrokerCheck record, accessed on February 19, 2021. On January 19, 2021, Christian Lucchetto entered into an Acceptance, Waiver, and Consent (AWC) agreement with FINRA. In the agreement, Christian Lucchetto consented to the findings that he…

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Raymond Menna (CRD #: 1918097), a broker registered with Verity Investments, has entered into a consent agreement with Massachusetts, according to his BrokerCheck record, accessed on February 22, 2021. Raymond Menna also offers financial advisory services through Menna Wealth Planning Group. On January 14, 2021, Raymond Menna entered into a consent agreement with the Massachusetts…

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Jim Kent (CRD #: 2255753), a broker registered with Emerson Equity in Pinellas Park, Florida, has been suspended by FINRA, according to his BrokerCheck record, accessed on February 16, 2021. On February 1, 2021, Jim Kent entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA, in which he consented to a 30-day suspension…

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Tony Tricarico (CRD #: 1047416), a barred New York broker previously registered with Aegis Capital, has consented to a FINRA fine and a six-month suspension, according to his BrokerCheck record, accessed on February 10, 2021. On January 22, 2021, Tony Tricarico of Aegis Capital entered into an Acceptance, Waiver, and Consent agreement with FINRA in…

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Vincent Virga (CRD #: 5070668), an investment adviser and broker registered with Madison Avenue Securities in Bayonne, New Jersey, has consented to a $5,000 fine from the Financial Industry Regulatory Authority, according to his BrokerCheck record, accessed on February 1, 2021. Virga also offers financial advisory services through PFS Wealth Management Group. On November 20,…

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Stephen Nappo (CRD #: 1691373), a broker registered with Cadaret, Grant, & Co, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on January 27, 2021. Details regarding the allegations that led to his suspension are provided below. On December 4, 2020, Stephen Nappo entered into an Acceptance,…

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