Anthony J. Falco Jr. [CRD: 5125793, Wayne, Pennsylvania] is a securities broker whose BrokerCheck record contains disclosures that may concern investors who experienced losses. Falco has been registered with J. Alden Associates Inc. since March 10, 2021, and with Alden Investment Group since May 3, 2024. He was previously registered with MPB Wealth Management LLC from November 10, 2020, through April 10, 2024. The following sections summarize the allegations appearing in his record.
A J. Alden Associates client challenged Falco’s conduct in Civil Action No. 2024-0733, filed on July 11, 2024, in the Delaware Court of Chancery. The action alleged that Falco promoted and encouraged investments in LifeBrand. It further claimed that the company’s leadership depleted corporate assets and breached fiduciary duties. The plaintiffs sought restitution related to their claimed losses on direct investments. The case later reached a settlement on March 9, 2026, for $500,000.
A breach of fiduciary duty refers to a financial professional violating duties of loyalty, care, honesty, or good faith owed to a customer when such duties arise from the relationship or applicable law. Examples may include placing personal interests ahead of the customer’s interests, failing to disclose material conflicts, misusing customer assets, or recommending transactions for improper reasons. FINRA arbitration claims sometimes allege fiduciary breaches under state or common law. Broker-dealers also must comply with Regulation Best Interest when making recommendations to retail customers.
Investors who believe they suffered losses connected to Anthony Falco may contact Soreide Law Group online or call (888) 760-6552 to discuss whether they may have a claim for recovery. The firm represents investors throughout the United States, handles matters on a contingency-fee basis, and advances case expenses. Falco and the brokerage firms associated with him deny allegations of sales-practice misconduct.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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