Category Archives: Selling Away
FINRA Suspends Florida Broker for Undisclosed Outside Business Activities (OBAs)
Ian James Prukner (CRD #5288581) is a previously registered securities broker and previously registered investment adviser (RIA). From March of 2007 to August of 2022, Mr. Prukner was a registered representative of PFS Investments Inc. in Sarasota. Following an investigation, the Financial Industry Regulatory Authority (FINRA) suspended this broker for 24 months for engaging… Read More »
Florida Broker Terminated for Selling Away, Barred By FINRA for Failure to Cooperate With Investigation
Randall George Skrabonja (CRD #1858245) is a previously registered securities broker. From October of 2019 to May of 2023, Mr. Skrabonja was an associate of Green Vista Capital, LLC in Winter Park, Florida. Prior to that, he was a registered representative of Sagepoint Financial in Fort Lauderdale and Metlife Securities in West Palm Beach…. Read More »
FINRA Bars Securities Broker in Florida For Declining to Cooperate With Investigation into Alleged Outside Business Activities
Jeffrey Max Cohen (CRD #2528929) is a formerly registered securities broker and investment adviser. FINRA lists Mr. Cohen as a resident of Panama City Beach, Florida. Most recently, this broker was associated with Moloney Securities Co., Inc. (2015 to 2021). In June of 2023, FINRA barred Jeffrey Max Cohen from the securities industry for… Read More »
South Florida Financial Advisor Barred For Providing False Information In Connection With FINRA Investigation
Earlier this year, the Financial Industry Regulatory Authority (FINRA) barred broker Kevin Andrew Hobbs (CRD #4267482) from the industry. Mr. Hobbs was a representative of PFS Investments Inc. in Lake Worth, FL from January of 2001 to October of 2022. Mr. Hobbs faced two customer complaints for unsuitable investment recommendations over the last two… Read More »
FINRA Fines, Suspends Securities Broker In Florida For Undisclosed Private Securities Transactions
Hugh Ordway Barndollar III (CRD #3027317) is a registered investment adviser (RIA). As of early February of 2023, he is suspended from the securities industry. From 2013 to 2021, Mr. Barndollar III was a registered representative of Crown Capital Securities in Land O’ Lakes, Florida. Spanning 2020 and 2021, eight customer complaints were filed… Read More »
Final Decision Entered In FINRA Disciplinary Case, Miami Broker Fined And Suspended
Jorge Antonio Netto (CRD #2432661) is a registered broker and previously registered investment adviser (RIA). Since April of 2017, Mr. Netto has been registered as a securities representative with Boreal Capital Securities in Miami, Florida. Previously, the broker has also been associated with other South Florida firms, including Northeast Securities and Colony Park Financial… Read More »
Florida Broker Fined, Suspended For Improper Private Securities Transaction
Andrew Benjamin Edenbaum (CRD #3040543) is a previously registered investment adviser (RIA). Mr. Edenbaum was most recently associated with Oppenheimer & CO (2002 to 2018), National Securities Corporation (2018 to 2020), and A.G.P/Alliance Global Partners (2020 to 2022). At all three firms, this broker was based at office locations in South Florida. Earlier this… Read More »
FINRA Fines Florida Broker $5,000 And Suspends Him For 45 Days For Undisclosed Outside Business Activities
Athanasios Tomaras (CRD#: 2722538) is a securities broker and registered investment adviser. From November of 2012 through July of 2016, Mr. Tomaras was associated with Fulcrum Advisory Services, LLC in Oldsmar, Florida. Currently, he works as a representative of R. F. Lafferty & Co. Recently, FINRA suspended this broker for 45 days and fined… Read More »
FINRA Complaint: Florida Broker Engaged In Improper Outside Business Activities
Jorge Antonio Netto (CRD#: 2432661) is an actively registered FINRA broker. Since April of 2017, Mr. Netto has served as a representative for Boreal Capital Securities LLC in Miami, FL. Previously, he was associated with Northeast Securities Inc. in Coral Gables, FL (2014 to 2017). On August 13th, 2021, FINRA filed a complaint against… Read More »
Florida Broker Fined and Suspended for Selling Away From Member Firm
Jason Nicholas Dukas (CRD #4188239) is a registered broker and investment adviser in Florida. From August of 2011 to July of 2017, Mr. Dukas was employed by Wells Fargo Clearing Services. Since August of 2017, he has been a representative of Stifel, Nicholas & Company Incorporated. In May of this year, FINRA fined this… Read More »
