Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California].
Brian Pavelko has an employment history spanning several firms. He has been registered with NI Advisors in Milpitas, California, since March 13, 2022. Previously, Pavelko worked for SW Financial from September 2018 to March 2022, Democracy Funding LLC from February 2018 to April 2018, and Coastal Equities, Inc. from June 2014 to August 2016.
Recent disclosures reveal concerns about Pavelko’s conduct, including allegations of material misrepresentations, omissions, and violations of regulatory rules.
On September 10, 2024, FINRA made a preliminary determination to recommend disciplinary action against Brian Pavelko. The investigation stems from alleged violations of FINRA Rule 2010, Sections 17(a)(2) and (3) of the Securities Act of 1933, and FINRA Rule 8210. According to FINRA, Pavelko potentially:
This matter is currently pending resolution.
If so, reach out to Soreide Law Group online (contact here) or at (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Pavelko and the firms he worked for deny accusations of sales practice violations.
One or more investors possibly experienced losses because of securities broker Scott Jason Hechler [CRD: 5277526, Garden City, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hechler has worked for Spartan Capital Securities LLC since May 15, 2023. Previously, he worked at SW Financial from December 10, 2019 […]
Investors potentially experienced sales practice violations due to securities broker Rodger Anthony McAlister [CRD: 2676623, Louisville, Kentucky], according to disclosures on FINRA BrokerCheck. Evidently, McAlister has worked for Money Concepts Capital Corp since December 12, 2005, and for Money Concepts Advisory Service since March 12, 2007. Read below to learn more about McAlister’s disclosures and […]
Investors apparently complained about securities broker Paul N. Lekousis [CRD: 2545673, La Grange Park, Illinois], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lekousis has worked for OneAmerica Securities Inc. since October 16, 2023, in Indianapolis, Indiana, and since November 30, 2023, in La Grange Park, Illinois. Previously, he […]
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