MICHAEL BASTARDI Barred By FINRA (INVESTOR ALERT!) The Financial Industry Regulatory Authority (“FINRA”) announced that it barred Securities America, Inc. securities broker Michael Bastardi (CRD#: 6015424, Warwick, NY). Evidently, in a Letter of Acceptance, Waiver, and Consent (“AWC”) #: 2018059770401 which Bastardi submitted on May 10, 2019, and FINRA accepted on May 24, 2019, Bastardi […]

ROGER ZULLO Cause You Investment Losses? The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), and at least one state regulator, have barred LPL Financial LLC stockbroker Roger Zullo (CRD#: 1882087, Boston, Mass.) from acting as a broker or investment advisor.  The SEC and FINRA actions come after Mass. Securities Division […]

LAWRENCE FAWCETT Barred From Securities Industry The Financial Industry Regulatory Authority (“FINRA”) barred WestPark Capital Inc. securities broker Lawrence Fawcett (CRD#: 5851474, Los Angeles, California). Evidently, Fawcett executed a Letter of Acceptance, Waiver, and Consent (“AWC”) #: 2017056329801 on March 13, 2018, which FINRA accepted March 26, 2018. FINRA determined that Fawcett violated FINRA Rules […]

KYUSUN KIM Cause Your Investment Losses? Soreide Law Group is evaluating possible claims of sales practice violations against Sandlapper Securities, LLC general securities representative Kyusun Kim (CRD#: 2864085, San Diego, CA) who is also known as Kenny Kim. Notably, the Financial Industry Regulatory Authority (“FINRA”) expelled Kim from acting as a broker or associating with […]

FINRA Bars NICHOLAS MADDOX of Laguna Niguel California The Financial Industry Regulatory Authority (“FINRA”) barred TCFG Wealth Management securities broker Nicholas Maddox (CRD#: 4732456, Laguna Niguel, California). Evidently, Maddox was either unresponsive to FINRA’s requests or did not comply with FINRA in its investigation. Here’s what we know so far: TCFG Wealth Management Terminates Nicholas […]

EDWARD MATTHES Cause You Investment Losses? Soreide Law Group is evaluating possible claims of misappropriation and other sales practice violations against Edward Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Namely, Matthes reports a shocking fifteen client disputes on FINRA BrokerCheck. Apparently, clients allegations suggest  Matthes misappropriated their investment funds and falsified account statements. Here is a summary […]

INVESTOR ALERT: FINRA Bars Coastal Equities’ SAM AZIZ Because Of Excessive Trading Investigation The Financial Industry Regulatory Authority (“FINRA”) barred David A. Noyes broker Sam Aziz (CRD#: 1721932, Dublin, Ohio) from the securities industry. Evidently, Aziz executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052325701 on March 18, 2019, which FINRA accepted March 27, […]

INVESTOR ALERT: FINRA Bars JAMES SCHWARTZ For Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) announced it barred Aegis Capital Corp securities representative James Bradley Schwartz (CRD#: 3043085, New York City, New York) for making fraudulent trades and churning Aegis Capital Corp customers’ accounts. A settlement was reached April 16, 2019 in Case #2016051704302, following […]

FINRA Expels HD Vest’s ERIN VERESPY For Declining To Testify About Misappropriation Allegations FINRA announced it has barred HD Vest Investment Services broker Erin Verespy (CRD#: 2727866, Trumbull, Connecticut). Verespy worked at HD Vest Investment Services from August 19, 1998 to March 27, 2019. Evidently, she submitted a Letter of Acceptance, Waiver and Consent (“AWC”) […]