Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith M. D’Agostino [CRD: 2837860, Woodbury, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, D’Agostino worked for Aegis Capital Corp. from October 3, 2014, to November 29, 2023, before his current registration with […]

Investors might have sustained losses due to Joseph C. Desapio [CRD: 5837553, New York, New York], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Desapio worked for Spartan Capital Securities LLC from May 5, 2017, to July 27, 2022. He was discharged when Spartan […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jason Ryan Jaynes [CRD: 5555100, Frisco, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jaynes has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since December 10, 2019. Continue reading […]

Investors might have sustained losses due to securities broker James Daniel McDermott [CRD: 2483480, Oakbrook Terrace, Illinois], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDermott was registered with Raymond James Associates Inc. from October 16, 2015, to October 27, 2023, before moving to Osaic Wealth Inc. on October 26, 2023. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Arthur Schwarz [CRD: 416535, Short Hills, New Jersey], as indicated by multiple disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck.  Evidently, Schwarz joined UBS Financial Services Inc. on January 10, 2013, as a financial advisor and securities […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jack Robert Thacker Jr. [CRD: 2754773, Bristol, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thacker worked for Center Street Securities Inc. from December 3, 2007, to October 10, 2023. Continue reading to learn […]

Investors might have sustained losses due to securities broker Jack Edward Newhouse [CRD: 2108923, Muskegon, Michigan], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Newhouse was previously registered with Merrill Lynch Pierce Fenner Smith Incorporated from March 27, 2009, to June 9, 2022. Continue reading to learn more about Newhouse’s […]

Evidently, FINRA issued an Acceptance, Waiver Consent (AWC) on April 25, 2019, sanctioning Harry Buckman for supervisory failures. Notably, FINRA found that Buckman failed to adequately oversee two former registered representatives at his firm, resulting in unsuitable and excessive trading in multiple investors' accounts. Because of this, Buckman faced civil fine of $20,000, a suspension […]

Investors might have sustained losses due to securities broker Glennon James Cole (also known as Glen Cole) [CRD: 1999588, Manchester, Missouri], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cole was employed by Moloney Securities Co. Inc. from September 14, 2012, to February 8, 2021. Continue reading to learn more about […]