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.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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