FINRA Disciplinary Actions April 2022

Table of Contents

GINA REA KIDD (CRD #6658538, NEW YORK, NEW YORK)

April 1, 2022 – An Order Accepting Offer of Settlement was issued in which Kidd was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations of the complaint, Kid consented to the sanction and to the entry of findings that she failed to appear for on-the-record testimony as requested by FINRA staff. The findings stated that Kidd failed to appear during an investigation into allegations made in a Form U5 filed by her former member firm that she involved an unregistered person in activities that require registration. (FINRA Case #2019064729705)

MARIANNE O’SHEE SMITH (CRD #1587765, AVON, CONNECTICUT)

April 5, 2022 – An AWC was issued in which Smith was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Smith consented to the sanction and to the entry of findings that she converted funds from three senior firm customers. The findings stated that Smith converted $45,100 from three senior firm customers by using the funds to purchase mutual fund shares for a family member of Smith instead of to fund the customers’ mutual fund investments as directed. (FINRA Case #2021071670001)

STEPHEN SPENCER GLADSTONE (CRD #222612, NEW YORK, NEW YORK)

April 8, 2022 – An AWC was issued in which Gladstone was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Gladstone consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Gladstone was under investigation for potential undisclosed private securities transactions when he refused to appear. (FINRA Case #2022074015901)

JOHN SCOTT WINSLOW (CRD #3071933, GIG HARBOR, WASHINGTON)

April 12, 2022 – An AWC was issued in which Winslow was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Winslow consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Winslow was under investigation for potentially failing to disclose to his firm that he received funds from a client and furthermore refused to return those funds to the client after his termination when he refused to cooperate. (FINRA Case #2022073728601)

WESLEY JAMISON CUMMINGS (CRD #7135629, CORONA DEL MAR, CALIFORNIA)

April 12, 2022 – An AWC was issued in which Cummings was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Cummings consented to the sanction and to the entry of findings that he failed to provide documents and information as requested by FINRA. The findings stated that Cummings was under investigation for submitting business expenses to his member firm that were neither reasonable or necessary in amount and type to operate a branch office when he refused to cooperate. (FINRA Case #2021072296201)

SHAWN EDWARD GOOD (CRD #2022168, WILMINGTON, NORTH CAROLINA)

April 14, 2022 – An AWC was issued in which Good was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Good consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Good declined to cooperate with an internal firm review following client accusations and was under investigation by FINRA for that lack of cooperation when he refused to appear. (FINRA Case #2022074131601)

ROBERT WAYNE MOONEY (CRD #5230596, FORNEY, TEXAS)

April 18, 2022 – An AWC was issued in which Mooney was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Mooney consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Mooney was under investigation regarding allegations that he had an unauthorized ownership interest in an independent insurance agency and referring property and casualty insurance customers to that agency when he refused to appear. (FINRA Case #2021070733401)

JONATHAN ADAM STUFFER (CRD #6015954, STATEN ISLAND, NEW YORK)

April 18, 2022 – An AWC was issued in which Stuffer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Stuffer consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA. The findings stated that Stuffer allegedly participated in undisclosed outside business activities and applied for and received a Small Business Administration loan he was allegedly ineligible to receive when he refused to cooperate. (FINRA Case #2022074015901)

SHAWN ELIZABETH PARKER (CRD #1768234, SCHAUMBURG, ILLINOIS)

April 20, 2022 – An AWC was issued in which Parker was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Parker consented to the sanction and to the entry of findings that she converted funds from her member firm. The findings stated that Parker allegedly falsified invoices for annual client events to fraudulently increase the amount of expenses for which she would be reimbursed, leading her to convert at least $25,000 from the firm. (FINRA Case #2019064551501)

MADISON SLOAN TREWHITT III (CRD #2008420, CLEVELAND, TENNESSEE)

April 21, 2022 – An AWC was issued in which Trewhitt was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Trewhitt consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA. The findings stated that Trewhitt was under investigation regarding allegations that he transmitted “unprofessional images” from his personal to his firm email account when he refused to appear. (FINRA Case #2022074672801)

AMANDA LYNN WILLIAMS (CRD #7283014, NEW YORK, NEW YORK)

April 21, 2022 – An AWC was issued in which Williams was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Williams consented to the sanction and to the entry of findings that she falsified documents pertaining to her exam scores. The findings stated that Williams failed the SIE test two times and then reported to her member firm that she had based with a falsified exam score report to retain her employment. (FINRA Case #2020068071401)

DOAN CONG NGUYEN (CRD #6554242, VANCOUVER, BRITISH COLUMBIA)

April 21, 2022 – An AWC was issued in which Nguyen was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Nguyen consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA. The findings stated that Nguyen was under investigation regarding allegations that he allegedly engaged in Outside Business Activity with neither prior approval from nor disclosure to his member firm when he refused to cooperate. (FINRA Case #2021071260701)

DIANE MARIE SIMMONS (CRD #6085105, OVILLA, TEXAS)

April 22, 2022 – An AWC was issued in which Simmons was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Simmons 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 Simmons allegedly failed to adequately address questions or concerns regarding personal claims by certain customers when she refused to cooperate. (FINRA Case #2021071352201)

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