FINRA Disciplinary Actions April 2021

This post is written on behalf of Girard Bengali, APC.

FINRA Disciplinary Actions April 2021

CHARLES THOMAS STEVENS (CRD #1698058, ST. AUGUSTINE, FLORIDA)

March 26, 2021 – An OHO decision became final in which Stevens was barred from association with any FINRA member in all capacities. The sanction was based on findings that Stevens failed to update his U4 form in a timely fashion to disclose tax liens and a judgement along with making false statements to his member firm employer. The findings stated that Stevens also failed to provide testimony, documents and information requested by FINRA. (FINRA Case #2017056627801)

JEREMY TAYLOR JOHNSON (CRD #7074043, MURRIETA, CALIFORNIA)

March 26, 2021 – An AWC was issued in which Johnson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Johnson consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA during the course of an investigation into the details of Johnson’s offer and sale of two securities offerings. The findings stated that Johnson was under investigation regarding the suitability and potential misrepresentations of two securities he offered and sold when he failed to appear. (FINRA Case #2019062311701)

GREGORY JON MANCUSO (CRD #5681691, HUTCHINSON ISLAND, FLORIDA)

March 31, 2021 – An OHO decision became final in which Mancuso was barred from association with any FINRA member in all capacities. The sanction was based on findings that Mancuso provided false testimony during an on-the-record interview with FINRA staff regarding his actions toward the accounts of two clients. The findings stated that Mancuso was accused of transferring large amounts of two clients’ life savings to a company with which Mancuso was affiliated while also taking actions to potentially change one customer’s power-of-attorney. (FINRA Case #2020066608501)

JARED EVAN AILSTOCK (CRD #5360407, NEW YORK, NEW YORK)

April 8, 2021 – An AWC was issued in which Ailstock was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ailstock consented to the sanction and to the entry of findings that he refused to appear for testimony requested by FINRA. The findings stated that Johnson was under investigation for potentially submitting inaccurate business expense reimbursement forms when he failed to appear. (FINRA Case #2019064916001)

DAVID BRIAN ZUBER (CRD #3239595, LAVISTA, NEBRASKA)

April 9, 2021 – An AWC was issued in which Zuber was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Zuber consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA. The findings stated that Zuber was under investigation for undisclosed outside business activities and private securities transactions when he refused to appear. (FINRA Case #2019064979301)

JOIA LEANNE EVANS (CRD #6328012, ATLANTA, GEORGIA)

April 9, 2021 – An AWC was issued in which Evans was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Evans consented to the sanction and to the entry of findings that she refused to provide documents and information as requested by FINRA. The findings stated that Evans was under investigation for potentially potential outside business activities while associated with TIAA-CREF when she refused to provide the requestion information and documents. (FINRA Case #2020069007201)

TONIA BERG (CRD #66915171, LOS ANGELES, CALIFORNIA)

April 12, 2021 – An AWC was issued in which Berg was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Berg consented to the sanction and to the entry of findings that she converted approximately $44,200 from her mother’s brokerage account through three wire transfers in contravention of FINRA Rule 2010. The findings stated that Berg converted these funds without her mother’s knowledge or consent, as well as forging signatures in order to complete these transfers. (FINRA Case #2021069510901)

MICHAEL JOSEPH DELLAPORTA JR (CRD #500214, FORT LAUDERDALE, FLORIDA)

April 14, 2021 – An AWC was issued in which Dellaporta was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Dellaporta consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA. The findings stated that Dellaporta was under investigation for a customer complaint about his involvement with an outside business activity while associated with FAS when he refused to provide information. (FINRA Case #2020069029001)

GILBERT W. COX (CRD #2973703, CONCORD, NEW HAMPSHIRE)

April 19, 2021 – An AWC was issued in which Cox was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Cox consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA. The findings stated that Cox was under investigation after his member firm filed a U5 form stating he was discharged for failing to cooperate with an internal employment investigation seeking information about his outside business activities. (FINRA Case #2020066700601)

BRIAN P. MAGUIRE (CRD #5011014, NEW YORK, NEW YORK)

April 20, 2021 – An AWC was issued in which Maguire was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Maguire consented to the sanction and to the entry of findings that he purchased the securities of two companies while in possession of material nonpublic information in two accounts. The findings stated that Maguire was also found to have traded in securities of issuers he covered in contravention of his firm’s written prohibition, traded in a manner inconsistent with his current recommendations, published research without disclosing that a member of his household had a financial interest in the securities, and lied to FINRA staff regarding his trading history. (FINRA Case #2020067348501)

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