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.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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