FINRA Disciplinary Actions February 2021

Table of Contents

LISA MARIE STEVENSON (CRD #6191058, NEW ALBANY, OHIO)

February 2, 2021 – An AWC was issued in which Stevenson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Stevenson consented to the sanction and to the entry of findings that she refused to provide documents requested by FINRA during the course of an investigation into allegations that she accepted a gift from a customer in violation of firm policies. The findings stated Stevenson admitted to accepting a $100,000 gift from a client in violation of firm policy and FINRA rules. (FINRA Case #2020068942001)

MICHAEL PAUL FRANCOEUR (CRD #5534184, SOMERSWORTH, NEW HAMPSHIRE)

February 3, 2021 – An AWC was issued in which Francoeur was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Francoeur 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. The findings stated that Francoeur was terminated from his firm after it investigated a customer complaint and found that he assisted a client with unapproved investment and communicated through unapproved email in contravention of the firm’s policy. (FINRA Case #2019064967501 )

AUTUMN JORDAN (CRD #7099142, HOUSTON, TEXAS)

February 10, 2021 – An AWC was issued in which Jordan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Jordan consented to the sanction and to the entry of findings that she refused to provide documents and information as requested by FINRA representatives. The findings stated that Jordan was terminated by her firm via an amended Form NRF, and a FINRA investigation was triggered by an associated Rule 4530 disclosure. (FINRA Case #2020068711601)

VALERIE IDARRAGA CEBALLOS (CRD #6904661, ORLANDO, FLORIDA)

February 10, 2021 – An AWC was issued in which Ceballos was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ceballos consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA during the course of an investigation that began after her firm terminated her via filing a U5. The findings stated that Ceballos was terminated by her firm after she applied for business support from the Small Business Administration when she admitted she did not have the relevant pre-existing formal business as required. (FINRA Case #2020068731301)

ALEXANDER WILLIAM SCHIFTER (CRD #6534524, NEW YORK, NEW YORK)

February 10, 2021 – An AWC was issued in which Schifter was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Schifter 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. This investigation began after it learned of allegations that he had improperly accessed the confidential or proprietary information of a non-FINRA registered investment bank with which he had been previously employed. The findings stated that Schifter was terminated by his firm after receiving a complaint that he had improperly accessed conference calls of a prior unaffiliated bank employer. (FINRA Case #2020066474901)

BRADLEY ALLEN GOODBRED (CRD #3184210, ROSELLE, ILLINOIS)

February 16, 2021 – An AWC was issued in which Goodbred was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Goodbred consented to the sanction and to the entry of findings that he refused to provide documents requested by FINRA during the course of an investigation into allegations that he didn’t obtain approval from the firm to act as a power of attorney for a customer. The findings stated Goodbred utilized power of attorney to request and facilitate distributions of funds from a customer’s outside advisory accounts, deposit customer funds into customer’s bank account, and then had the customer provide him with personal checks totaling $430,000 made payable to a real estate company he owned and operated as an outside business activity. (FINRA Case #2021069226501)

PAUL JOHN HALVORSON (CRD #1628854, CHARLESTON, SOUTH CAROLINA)

February 16, 2021 – An AWC was issued in which Halvorson was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Halvorson consented to the sanction and to the entry of findings that he refused to provide documents requested by FINRA during the course of an investigation. The findings stated that Halvorson was terminated by his firm for concerns that he submitted transactions under production numbers that were inconsistent with his agreement with another representative resulting in a shortfall of revenue credited to the other representative. (FINRA Case #2020068795001)

MICHAEL JUSTIN NAGY (CRD #6836938, MARICOPA, ARIZONA)

February 17, 2021 – An AWC was issued in which Nagy was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Nagy consented to the sanction and to the entry of findings that he kept cash that a customer had forgotten at the bank’s ATM in violation of FINRA Rule 2010. The findings stated Nagy received lost cash from a customer, who requested he return it to the rightful owner. However, Nagy failed to return the cash to the bank or report the incident, despite being asked about it by the bank’s manager later that same day. (FINRA Case #2019064958901)

SCOTT WAYNE REED (CRD #3007033, SCOTTSDALE, ARIZONA)

February 19, 2021 – An AWC was issued in which Reed was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Reed consented to the sanction and to the entry of findings that he participated in private securities transactions without providing prior written notice to his firm. The findings stated that Reed solicited at least six individuals to invest more than $3.5 million in private securities at a software and web development firm without notifying his firm, in contravention of FINRA policy. (FINRA Case #2020066246901)

DARRELL ANTHONY SMITH JR. (CRD #6774881, MEMPHIS, TENNESSEE)

February 24, 2021 – 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 he refused to provide on-the-record testimony requested by FINRA during the course of an investigation. The findings stated that Smith resigned after allegations that he initiated payments and other transactions out of two separate customer bank accounts that the customers disputed as unauthorized. (FINRA Case #2020065527102)

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