The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Nicholas Ash [CRD#: 6244799, Topeka, KS]. However, Ash denies the allegations. Read on to learn more about the allegations against Ash. OFG Financial Services Securities Broker Ash Sanctioned By FINRA For Outside Business Activities Evidently, FINRA issued Case #: 2020068668803 on June 8, […]

The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Bradley S. Lay, who is also known as Brad Lay (CRD#: 4633746, Franklin, Tennessee). Evidently, Lay is listed on BrokerCheck as having worked for Raymond James as a securities broker and financial advisor (2013 to 2019) and SA Stone Wealth Management as a […]

According to FINRA, NIKOLAY ZOTENKO consented to a one-year suspension and to pay a $10,000 fine without admitting or denying FINRA’s findings. Zotenko was previously registered both as a broker and as an investment advisor. Zotenko was previously listed with Morgan Stanley of Beverly Hills, California. On May 13, 2022, without admitting or denying FINRA's […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]

On December 10, 2021, the Financial Industry Regulatory Authority (FINRA) suspended JOHAN M PEREIRA (JOHAN MANUEL PEREIRA) CRD#: 6252881 for seven months and issued a $10,000 fine after a client had allegedly hired him to assist with investing in and purchasing bitcoin, according to a letter of settlement finalized on December 10, 2021. According to […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s website on the following Florida broker/financial advisor under, “Disciplinary and Other FINRA Actions,” November, 2021: Athanasios Tomaras (CRD #2722538, Oldsmar, Florida) On September 7, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Athanasios Tomaras was fined $5,000 and suspended from association […]

FINRA Suspends Securities Broker Serge Parakhnevich, And Investors Dispute His Sales Practices FINRA BrokerCheck shows that FINRA sanctioned securities broker Serge Parakhnevich (“Serge Parker”) (CRD#: 5493064, New York, New York) for trading without authorization. Moreover, Parakhnevich is facing investor disputes which allege excessive and unsuitable trading. Let’s take a look at these disputes, including what […]