David A. Noyes' Stu Pearl Allegedly Made Unauthorized Margin Transactions The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Stuart “Stu” Pearl (CRD#: 1500833, Indianapolis, Indiana). Namely, no less than 5 clients came forward with disputes about Pearl’s sales practices. Not only that, but FINRA’s suspension and fine against Pearl […]

Barred Broker Oscar Francis Misappropriated Funds For Cocaine, Strip Clubs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows alarming information in regard to disgraced securities broker Oscar Francis [CRD#: 5094722, Fort Lauderdale, Florida]. Namely, Securities and Exchange Commission (“SEC”) barred him for fraud. Also, five clients filed complaints about the securities broker, who worked […]

Titan Securities' Walter Parker Allegedly Sold Unsuitable Alternative Investments Investors are filing complaints and lawsuits because of Walter Warren Parker [CRD#: 2131232, Rowlett, Texas]. Evidently, the securities broker, who worked for Titan Securities between 2006 and 2018, reports 13 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Supposedly, Titan Securities clients indicate that Parker […]

Hilliard Lyons' Christopher Bennett Reports 15 Client Disputes Investor Alert! The Financial Industry Regulatory Authority (FINRA) shows troubling information in regard to securities broker and financial advisor Christopher Duke Bennett [CRD#: 2510231, Louisville, Kentucky]. Namely, 15 clients took issue with the securities broker, who worked for Hilliard Lyons between 1995 and 2018. Also, FINRA issued […]

Investors File Disputes About Broker Marlon Cole Soreide Law Group is looking into potential investor disputes against securities broker Marlon Cole [CRD#: 5054806, New York, New York]. Notably, FINRA BrokerCheck shows that at least 6 clients took issue with the securities broker. These clients held accounts with Cole at firms including Spartan Capital Securities and […]

Broker Kevin Barbalace Possibly Lied To His Clients Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Corinthian Partners securities broker Kevin Lawrence Barbalace [CRD#: 4456476, Middletown, New Jersey]. Notably, no less than 5 of Barbalace’s clients at Corinthian Partners and Dawson James Securities contested his sales practices. Not only […]

Legend Securities Broker Michael Stanton Allegedly Failed To Supervise, Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims involving securities broker Michael Salvatore Stanton [CRD#: 1448072, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that the securities broker, who was a branch office manager for Legend Securities Corp. from […]

Broker Rick Higgins Allegedly Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Rick Higgins [CRD#: 1726947, Spartanburg, South Carolina]. Notably, one or more clients contested the actions of the securities broker, who worked with ProEquities from 2012 to 2016 and who presently works with First […]

FINRA Suspends Oromaner For Not Paying Aggrieved Client Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael Oromaner [CRD#: 2857559, Syosset, New York]. Mainly, FINRA sanctioned Oromaner for unauthorized trading and failure to comply with legal requirements. But that's not all. At least 13 clients took issue […]