Investors potentially experienced sales practice violations by securities broker Hector Crespo Jr. (also known as Harrison Crespo Jr.) [CRD: 3015246, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Crespo has worked for Aegis Capital Corp. in Melville, New York, since June 21, 2011, as a securities broker and since June […]

Soreide Law Group is investigating potential investor claims involving J.P. Morgan Securities LLC (JPMS) after FINRA sanctioned the firm over supervisory failures involving a high-risk, leveraged investment strategy. Investors who suffered losses through this strategy may have legal options and should read below for details about FINRA's action against J.P. Morgan Securities. What Was The […]

Investors potentially incurred losses because of securities broker Christina Leanne Benton (also known as Christina Leann Benton and Chrissy Benton) [CRD: 7141536, Grass Valley, California], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benton worked for Wells Fargo Clearing Services LLC from August 2019 to April 2021. She has been associated […]

Investors may have suffered financial harm by securities broker Michael Giordano (also known as Mike Giordano) [CRD: 5352775, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Giordano has been registered with Charles Schwab Co. Inc. since March 30, 2021, and previously worked for Ameriprise Financial Services LLC in Hauppauge, […]

Soreide Law Group is investigating potential investor claims involving IFP Securities LLC after FINRA sanctioned the firm for supervisory failures involving Class A mutual funds and Unit Investment Trusts (UITs). Investors who suffered losses in mutual funds, UITs, or other investments recommended through IFP Securities may have legal options and should learn more about FINRA's […]

Investors apparently complained about securities broker Ryan Thomas Racine [CRD: 5398642, Ann Arbor, Michigan], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Racine has worked for Hantz Financial Services Inc. since January 18, 2008, as a securities broker. He has been associated with the firm since August 18, 2011, as a financial […]

Investors might have been negatively impacted by securities broker John Andrew Scriffiny [CRD: 7431849, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scriffiny has been associated with Florida Financial Advisors since August 30, 2021, and Trinity Wealth Securities LLC since January 28, 2022. See below to learn more about a regulatory […]

Soreide Law Group is investigating potential investor claims involving World Investments LLC after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and registered index-linked annuities (RILAs). Investors who suffered losses in variable annuities, RILAs, or other investments recommended through World Investments may have legal options and should learn more about FINRA's […]

Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]